L••• F••••••

Advisor at W•••• F•••• A•••••••

ST. LOUIS, MO | CHARLOTTE, NC

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:815b48b1-cda9-cc8e-0320-b031a158c236

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Jan 4, 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•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Oct 30, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Oct 18, 2019	n/a	yes	ST. LOUIS, MO\|CHARLOTTE, NC	Current employment
C•••••••• W••••• C••••••••• L••	Former SEC adviser	Jun 28, 2019	Oct 18, 2019	no	CHARLOTTE, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• W••••• C••••••••• L••	W•••• F•••• A•••••••	Oct 18, 2019	Oct 18, 2019	0	Firm change	RIA to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C•••••••• W••••• C••••••••• L••	Mar 8, 2019	Jun 28, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:7691:NC:2018-06-25	Jun 27, 2018	Aug 7, 2018	CHARLOTTE, NC	Firm change

Relationships

Registered with (7)

→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 29, 2011 to Jun 27, 2018factForm ADV
→ C•••••••• W••••• C••••••••• L••Registered adviserregistration: previous registration
Jun 28, 2019 to Oct 18, 2019factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 7, 2018 to Mar 8, 2019factForm ADV
→ L•• F•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:815b48b1-cda9-cc8e-0320-b031a158c236
First observed: Jan 4, 2001
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.