DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner22 years in industry

W•••••• G••••• F••••••

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

PLYMOUTH, MN | THE WOODLANDS, TX

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 3, 2004 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: Jun 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 26, 2024	n/a	yes	THE WOODLANDS, TX\|PLYMOUTH, MN	Current employment
S•••••• F•••••••• S•••••••• L••	Former SEC adviser	Apr 12, 2017	Jul 1, 2024	no	THE WOODLANDS, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• F•••••••• S•••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Jul 1, 2024	Jun 26, 2024	-5	Firm change	RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••••• F•••••••• S•••••••• L••	Mar 28, 2017	Apr 12, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
142758:116407:TX:2024-07-01	Jul 1, 2024	Jun 26, 2024	THE WOODLANDS, TX	Firm change

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 26, 2024 to presentfactForm ADV
→ S•••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 12, 2017 to Jul 1, 2024factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 3, 2004 to Mar 28, 2017factForm ADV

Dated events

Occurred
Jul 1, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 3, 2004
Last observed: Sep 15, 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.