DFX Intelligence

K•••• E•••••••• R•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

K•••• E•••••••• R•••••••

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

PLYMOUTH, MN | MINNETONKA, MN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 22, 2014 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: Feb 23, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	May 1, 2023	n/a	yes	MINNETONKA, MN\|PLYMOUTH, MN	Current employment
N•• E•• F•••••••• A•••••••• I•••	Former SEC adviser	Jan 22, 2014	May 31, 2023	no	WAYZATA, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•• E•• F•••••••• A•••••••• I•••	W••••• E••••••••• A••••••• S•••••••• L••	May 31, 2023	May 1, 2023	-30	Firm change	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
110603:116407:MN:2023-05-31	May 31, 2023	May 1, 2023	WAYZATA, MN	Firm change

Relationships

Registered with (2)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
May 1, 2023 to presentfactForm ADV
→ N•• E•• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 22, 2014 to May 31, 2023factForm ADV

Dated events

Occurred
May 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 22, 2014
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.