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

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RIA / WealthAdvisorCertified Financial Planner15 years in industry

S•••• L• L•••••

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

PLYMOUTH, MN | ROCK HILL, SC

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Search this name across graphsid dfx:ria:685fc034-c9a2-63ad-ad4e-857dbaa13ee6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 23, 2013 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Dec 1, 2021	n/a	yes	PLYMOUTH, MN\|ROCK HILL, SC	Current employment
C•••••• F•••••••• A••••••••• I••	Former SEC adviser	Jun 21, 2019	Dec 6, 2021	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• F•••••••• A••••••••• I••	W••••• E••••••••• A••••••• S•••••••• L••	Dec 6, 2021	Dec 1, 2021	-5	Bulk transfer	RIA to ibd
L••••• F•••••••• S•••••••• I•••	C•••••• F•••••••• A••••••••• I••	Jun 18, 2019

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
133826:105427:SC:2019-06-18	Jun 18, 2019	Jun 21, 2019	ROCK HILL, SC	Firm change

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Dec 1, 2021 to presentfactForm ADV
→ C•••••• F•••••••• A••••••••• I••Registered adviserregistration: previous registration
Jun 21, 2019 to Dec 6, 2021factForm ADV
→ L••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 23, 2013 to Jun 18, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:685fc034-c9a2-63ad-ad4e-857dbaa13ee6
First observed: Oct 23, 2013
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.