DFX Intelligence

B•••• C• F••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner20 years in industry

B•••• C• F••••••••

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

COCONUT GROVE, FL | PLYMOUTH, MN

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 21, 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: May 12, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Oct 26, 2021	n/a	yes	COCONUT GROVE, FL\|PLYMOUTH, MN	Current employment
I••••••• S••••••••	Former SEC adviser	Aug 20, 2012	Nov 19, 2021	no	COCONUT GROVE, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••• S••••••••	W••••• E••••••••• A••••••• S•••••••• L••	Nov 19, 2021	Oct 26, 2021	-24	Firm change	RIA to ibd
E•••••••• A•••••••• L••	I••••••• S••••••••	May 13, 2009	Aug 20, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
106532:116407:FL:2021-11-19	Nov 19, 2021	Oct 26, 2021	COCONUT GROVE, FL	Firm change

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 26, 2021 to presentfactForm ADV
→ I••••••• S••••••••Registered adviserregistration: previous registration
Aug 20, 2012 to Nov 19, 2021factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jun 21, 2006 to May 13, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 21, 2006
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.