S•••• A•• W••••

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

ST HELENA, 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:5e4681f9-6fce-8f27-ade4-a6a9c35218c3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Oct 13, 2008 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: W••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 15, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 9

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jul 21, 2025	n/a	yes	ST HELENA, CA\|PLYMOUTH, MN	Current employment
T•• W••••• M••••••••• L••	Other adviser	Mar 30, 2023	Oct 18, 2023	no	HOUSTON, TX\|Southlake, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• W••••• M••••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Oct 18, 2023	Jul 21, 2025	642	Firm change after gap	RIA to ibd
F•••• I••••••••• S•••••••	T•• W••••• M••••••••• L••	Feb 16, 2023	Mar 30, 2023

Relationships

Registered with (7)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 21, 2025 to presentfactForm ADV
→ T•• W••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 30, 2023 to Oct 18, 2023factForm ADV
→ F•••• I••••••••• S•••••••Registered adviserregistration: previous registration
Jan 26, 2022 to Feb 16, 2023factForm ADV
→ 1•• G••••• A••••••• I••

Dated events

Occurred
Oct 18, 2023
Advisor changed firm
S•••• A•• W•••• left T•• W••••• M••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-07-21)
Form ADVobserved 7 days ago
Occurred
Feb 16, 2023
Advisor changed firm
S•••• A•• W•••• left F•••• I••••••••• S••••••• for T•• W••••• M••••••••• L•• (registered 2023-03-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e4681f9-6fce-8f27-ade4-a6a9c35218c3
First observed: Oct 13, 2008
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.