DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

M••••••• M••• W•••

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

NAPLES, FL | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:828d7531-447c-c893-66f6-7df3807758c6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 9, 2007 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 public••• Locked
Industry start: Mar 24, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 21derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Feb 18, 2005	n/a	yes	PLYMOUTH, MN\|NAPLES, FL	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 9, 2007	May 19, 2011	no	BURNSVILLE, MN\|FORT MILL, SC\|BURNSVILLE, MN\|NAPLES, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	n/a	May 19, 2011	n/a	n/a	Departure no registered destination	Departure

Relationships

Registered with (2)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Feb 18, 2005 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 9, 2007 to May 19, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:828d7531-447c-c893-66f6-7df3807758c6
First observed: May 9, 2007
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.