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R••••• A•••••• R•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)37 years in industry

R••••• A•••••• R•••

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

PLYMOUTH, MN | LA QUINTA, CA | FRANKTOWN, CO | DENVER, CO

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Search this name across graphsid dfx:ria:7f45ea76-c64f-f1a8-60ec-99a5bc7f56c5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 23, 2001 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: May 31, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	Jul 5, 2023	n/a	yes	PLYMOUTH, MN\|DENVER, CO\|FRANKTOWN, CO\|LA QUINTA, CA	Current employment
R••• F•••••••• I•••	Former SEC adviser	Apr 22, 2015	Jul 10, 2023	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
R••• F•••••••• I•••	W••••• E••••••••• A••••••• S•••••••• L••	Jul 10, 2023	Jul 5, 2023	-5	Firm change	RIA to RIA
L•• F•••••••• L••	R••• F•••••••• I•••	Oct 6, 2020

Team moves

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

Team	Left	Joined	From	Kind
174382:116407:CO:2023-07-10	Jul 10, 2023	Jul 5, 2023	DENVER, CO	Firm change
6413:174382:CO:2020-10-06	Oct 6, 2020	Apr 22, 2015	FRANKTOWN, CO	Firm change after gap

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 5, 2023 to presentfactForm ADV
→ R••• F•••••••• I•••Registered adviserregistration: previous registration
Apr 22, 2015 to Jul 10, 2023factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 23, 2001 to Oct 6, 2020factForm ADV

Dated events

Occurred
Jul 10, 2023
Advisor changed firm
R••••• A•••••• R••• left R••• F•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-07-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f45ea76-c64f-f1a8-60ec-99a5bc7f56c5
First observed: Jul 23, 2001
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.