DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner13 years in industry

C•••••• M••••• L••••••

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

BOWLING GREEN, KY | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:ab54405c-7cb7-0da3-042f-7d28449c02bb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 23, 2023 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: Dec 1, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom 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	Jan 3, 2024	n/a	yes	PLYMOUTH, MN\|BOWLING GREEN, KY	Current employment
L••••••• F•••••••• A•••••••• L••	Former SEC adviser	Jan 23, 2023	Jan 10, 2024	no	BOWLING GREEN, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••••• F•••••••• A•••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Jan 10, 2024	Jan 3, 2024	-7	Firm change	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
129435:116407:KY:2024-01-10	Jan 10, 2024	Jan 3, 2024	BOWLING GREEN, KY	Firm change

Relationships

Registered with (2)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 3, 2024 to presentfactForm ADV
→ L••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 23, 2023 to Jan 10, 2024factForm ADV

Dated events

Occurred
Jan 10, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab54405c-7cb7-0da3-042f-7d28449c02bb
First observed: Jan 23, 2023
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.