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

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RIA / WealthAdvisorCertified Financial Planner13 years in industry

M•••••• L•••••••

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

PLYMOUTH, MN | NEW YORK, NY

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Search this name across graphsid dfx:ria:803bdeaf-4c2b-21bb-a474-28ba5a9a8f4c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 28, 2017 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: Jun 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Sep 17, 2025	n/a	yes	PLYMOUTH, MN\|NEW YORK, NY	Current employment
W••••••••• A•••••••	Independent wealth	Jun 1, 2023	Sep 11, 2025	no	New York, NY\|Milwaukee, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••••• A•••••••	W••••• E••••••••• A••••••• S•••••••• L••	Sep 11, 2025	Sep 17, 2025	6	Firm change	RIA to ibd
H••••••• W••••• M••••••••• L••	W••••••••• A•••••••	Nov 21, 2022	Jun 1, 2023

Relationships

Registered with (5)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 17, 2025 to presentfactForm ADV
→ W••••••••• A•••••••Registered adviserregistration: previous registration
Jun 1, 2023 to Sep 11, 2025factForm ADV
→ H••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 23, 2020 to Nov 21, 2022factForm ADV
→ E•••• S••••••••• L••

Dated events

Occurred
Sep 11, 2025
Advisor changed firm
M•••••• L••••••• left W••••••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-09-17)
Form ADVobserved 7 days ago
Occurred
Nov 21, 2022
Advisor changed firm
M•••••• L••••••• left H••••••• W••••• M••••••••• L•• for W••••••••• A••••••• (registered 2023-06-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:803bdeaf-4c2b-21bb-a474-28ba5a9a8f4c
First observed: Aug 28, 2017
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.