DFX Intelligence

H••••• T••••• D••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner26 years in industrynot currently registered

H••••• T••••• D••••••

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

MIDDLETON, MA | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:ac7f8cba-8287-65dd-f7da-3909687caae2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 1, 2008 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: Aug 7, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 6derivedfrom 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	Sep 9, 2020	n/a	yes	PLYMOUTH, MN\|MIDDLETON, MA	Current employment
A••••••• C•••••• M••••••••• L••	Independent wealth	Nov 20, 2018	Aug 25, 2020	no	Middleton, MA\|RIDGEWOOD, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• C•••••• M••••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Aug 25, 2020	Sep 9, 2020	15	Firm change	RIA to ibd
S•••••••• A••••••• L••	A••••••• C•••••• M••••••••• L••	Jun 3, 2015	Nov 20, 2018

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 9, 2020 to presentfactForm ADV
→ A••••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 20, 2018 to Aug 25, 2020factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Apr 1, 2008 to Jun 3, 2015factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

First seen by DFX
Sep 15, 2026
date not stated
H••••• T••••• D•••••• no longer holds an investment adviser registration (last listed at W••••• E••••••••• A••••••• S•••••••• L•• on the 2026-09-14 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac7f8cba-8287-65dd-f7da-3909687caae2
First observed: Apr 1, 2008
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.