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S•••••• F•••••• D••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

S•••••• F•••••• D••••••

Advisor at C••••• I••••••••• A••••••• L••

Chippewa Falls, WI

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Search this name across graphsid dfx:ria:a7df7608-873a-58a3-9ca9-fafcc5f7d942

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 23, 2009 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 21, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Dec 16, 2025	n/a	yes	Chippewa Falls, WI	Current employment
W••••• M••••••••• G••••• L••	Former SEC adviser	Jul 25, 2019	Dec 22, 2021	no	Chippewa Falls, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	W••••• M••••••••• G••••• L••	Dec 18, 2025	Jul 15, 2015	-3,809	Firm change after gap	Other
W••••• M••••••••• G••••• L••	C••••• I••••••••• A••••••• L••	Dec 22, 2021	Dec 16, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:173629:WI:2025-12-18	Dec 18, 2025	Jul 15, 2015	CHIPPEWA FALLS, WI	Firm change after gap
173629:105644:WI:2021-12-22	Dec 22, 2021	Dec 16, 2025	CHIPPEWA FALLS, WI	Firm change after gap

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Dec 16, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 8, 2015 to Dec 18, 2025factForm ADV
→ W••••• M••••••••• G••••• L••Registered adviserregistration: previous registration
Jul 25, 2019 to Dec 22, 2021factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Dec 18, 2025
Advisor changed firm
S•••••• F•••••• D•••••• left L•• F•••••••• L•• for W••••• M••••••••• G••••• L•• (registered 2015-07-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7df7608-873a-58a3-9ca9-fafcc5f7d942
First observed: Dec 23, 2009
Last observed: Sep 14, 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.