DFX Intelligence

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

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RIA / WealthAdvisor30 years in industry

P••••••• G••••• L•••••••

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

PLYMOUTH, MN | JACKSONVILLE, FL

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Search this name across graphsid dfx:ria:4da63c54-3d6c-ee45-6147-3e07784def34

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 15, 2006 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: Jan 25, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Sep 5, 2018	n/a	yes	JACKSONVILLE, FL\|PLYMOUTH, MN	Current employment
R••••••••• S••••••••• I•••	Former SEC adviser	Dec 20, 2013	Oct 1, 2018	no	JACKSONVILLE, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••••••••• S••••••••• I•••	W••••• E••••••••• A••••••• S•••••••• L••	Oct 1, 2018	Sep 5, 2018	-26	Firm change	RIA to ibd
C•••••• C•••••• M••••••••• I•••	R••••••••• S••••••••• I•••	May 7, 2014	Dec 20, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
134385:116407:FL:2018-10-01	Oct 1, 2018	Sep 5, 2018	JACKSONVILLE, FL	Firm change

Relationships

Registered with (5)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 5, 2018 to presentfactForm ADV
→ R••••••••• S••••••••• I•••Registered adviserregistration: previous registration
Dec 20, 2013 to Oct 1, 2018factForm ADV
→ C•••••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Aug 6, 2009 to May 7, 2014factForm ADV
→ I••••• F•••••••• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4da63c54-3d6c-ee45-6147-3e07784def34
First observed: Aug 15, 2006
Last observed: Sep 15, 2026 7 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.