DFX Intelligence

C••••••••• M•••• P••••• D•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

C••••••••• M•••• P••••• D•••••

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

PLYMOUTH, MN | FULTON, MD

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:a58a12a7-6ebb-b5c9-8926-3b76a7138c96

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 22, 2009 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: Apr 4, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 7derivedfrom 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	Jul 23, 2019	n/a	yes	PLYMOUTH, MN\|FULTON, MD	Current employment
P••••••• S•••••••• G••••• L••	Former SEC adviser	Nov 2, 2010	Sep 10, 2019	no	FULTON, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• S•••••••• G••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Sep 10, 2019	Jul 23, 2019	-49	Firm change after gap	RIA to ibd
O•••• F•• I•••	P••••••• S•••••••• G••••• L••	Nov 2, 2010	Nov 2, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
154118:116407:MD:2019-09-10	Sep 10, 2019	Jul 23, 2019	FULTON, MD	Firm change after gap

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 23, 2019 to presentfactForm ADV
→ P••••••• S•••••••• G••••• L••Registered adviserregistration: previous registration
Nov 2, 2010 to Sep 10, 2019factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Oct 22, 2009 to Nov 2, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a58a12a7-6ebb-b5c9-8926-3b76a7138c96
First observed: Oct 22, 2009
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.