DFX Intelligence

L•••• P••••• G•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)39 years in industry

L•••• P••••• G•••••••

Advisor at W••••• E••••••••• A••••••• S•••••••• L••

OAKLAND, CA | PLYMOUTH, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4ad5dea6-0937-a5dd-17f7-fe08504fcde2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jul 8, 1997 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: W••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Dec 6, 2022	n/a	yes	OAKLAND, CA\|PLYMOUTH, MN	Current employment
G••••••• F•••••••• A•••••••	Former SEC adviser	Apr 20, 2018	Dec 31, 2022	no	OAKLAND, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••••••• F•••••••• A•••••••	W••••• E••••••••• A••••••• S•••••••• L••	Dec 31, 2022	Dec 6, 2022	-25	Firm change	RIA to ibd
C••••• A•••••• N••••••• L••	G••••••• F•••••••• A•••••••	Dec 1, 2022	Jan 14, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
144875:116407:CA:2022-12-31	Dec 31, 2022	Dec 6, 2022	OAKLAND, CA	Firm change

Relationships

Registered with (5)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Dec 6, 2022 to presentfactForm ADV
→ G••••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Apr 20, 2018 to Dec 31, 2022factForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Oct 9, 2007 to Dec 1, 2022factForm ADV
→ A••••••••• P••••••• I••••••••• A••••••• I••

Dated events

Occurred
Dec 31, 2022
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 1, 2022
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4ad5dea6-0937-a5dd-17f7-fe08504fcde2
First observed: Jul 8, 1997
Last observed: Sep 15, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.