DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

W••••• B••••••••

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

PLYMOUTH, MN | MONTGOMERY, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 6, 2004 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: Sep 6, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	May 2, 2024	n/a	yes	PLYMOUTH, MN\|MONTGOMERY, TX	Current employment
T•• R••••••••• G••••• L••	Former SEC adviser	Jan 16, 2018	May 31, 2024	no	Houston, TX\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• R••••••••• G••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	May 31, 2024	May 2, 2024	-29	Firm change	RIA to RIA
M••••• S••••••	T•• R••••••••• G••••• L••	Jul 31, 2013	Aug 14, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
148296:116407:CA:2024-05-31	May 31, 2024	May 2, 2024	SAN DIEGO, CA	Firm change

Relationships

Registered with (5)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
May 2, 2024 to presentfactForm ADV
→ T•• R••••••••• G••••• L••Registered adviserregistration: previous registration
Jan 16, 2018 to May 31, 2024factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jan 22, 2010 to Jul 31, 2013factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

Order

Occurred
31 May 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 6, 2004
Last observed: Sep 14, 2026 9 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.