DFX Intelligence

L••••••• D•••• O••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorPersonal Financial Specialist28 years in industry

L••••••• D•••• O••••••

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

PLYMOUTH, MN | HOUSTON, TX

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:63f0aad6-932b-8b24-f22b-8273f012bf91

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: May 25, 2001 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: Apr 22, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 3, 2024	n/a	yes	PLYMOUTH, MN\|HOUSTON, TX	Current employment
T•• F•••••••• A••••••• G••••• L••	Former SEC adviser	Feb 24, 2023	Jun 21, 2024	no	HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• F•••••••• A••••••• G••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Jun 21, 2024	Jun 3, 2024	-18	Firm change	RIA to RIA
L••••••• W•••••• I•••	T•• F•••••••• A••••••• G••••• L••	Dec 31, 2020	Feb 24, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
109558:116407:TX:2024-06-21	Jun 21, 2024	Jun 3, 2024	HOUSTON, TX	Firm change

Relationships

Registered with (7)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 3, 2024 to presentfactForm ADV
→ T•• F•••••••• A••••••• G••••• L••Registered adviserregistration: previous registration
Feb 24, 2023 to Jun 21, 2024factForm ADV
→ L••••••• W•••••• I•••Registered adviserregistration: previous registration
Mar 22, 2017 to Dec 31, 2020factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Jun 21, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63f0aad6-932b-8b24-f22b-8273f012bf91
First observed: May 25, 2001
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.