M•••••• E••••

Advisor at W•••• F•••• A•••••••

••• Locked

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 graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Nov 29, 2007 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: Mar 31, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Mar 12, 2024	n/a	yes	CHARLOTTE, NC\|CHARLOTTE, NC\|MINNEAPOLIS, MN\|ST. LOUIS, MO	Current employment
M•••••• W••••• M•••••••••	Other adviser	Aug 21, 2023	Feb 16, 2024	no	ROCKFORD, IL

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• W••••• M•••••••••	W•••• F•••• A•••••••	Feb 16, 2024	Mar 12, 2024	25	Firm change	Other
U••• B•••••• I••••••••• I•••	M•••••• W••••• M•••••••••	Sep 14, 2022	Aug 21, 2023

Relationships

Registered with (8)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Mar 12, 2024 to presentfactForm ADV
→ M•••••• W••••• M•••••••••Registered adviserregistration: previous registration
Aug 21, 2023 to Feb 16, 2024factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jan 21, 2021 to Sep 14, 2022factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Order

Occurred
16 Feb 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
14 Sep 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 29, 2007
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.