DFX Intelligence

M•••••• W•••••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst36 years in industry

M•••••• W•••••• S••••••

Advisor at S••••• F•••••••• M••••••••• L••

MEQUON, WI

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Search this name across graphsid dfx:ria:53ab56d7-4e65-3c77-f919-22c86b3815b6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 14, 2014 to Sep 14, 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: S••••• F•••••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Nov 10, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F•••••••• M••••••••• L••	State registered	Nov 23, 2016	n/a	yes	MEQUON, WI	Current employment
L••••• W••••• M••••••••• L••	n/a	Jan 14, 2014	Dec 23, 2016	no	MEQUON, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••• W••••• M••••••••• L••	S••••• F•••••••• M••••••••• L••	Dec 23, 2016	Nov 23, 2016	-30	Firm change	Other

Relationships

Registered with (2)

→ S••••• F•••••••• M••••••••• L••Registered adviserregistration: current employment
Nov 23, 2016 to presentfactForm ADV
→ L••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 14, 2014 to Dec 23, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:53ab56d7-4e65-3c77-f919-22c86b3815b6
First observed: Jan 14, 2014
Last observed: Sep 14, 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.