DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••• E••••••••• A••••••• S•••••••• L••
PLYMOUTH, MN | HUNTINGTON BEACH, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| W••••• E••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Jul 21, 2025 | n/a | yes | HUNTINGTON BEACH, CA|PLYMOUTH, MN | Current employment |
| M••••• G••••• A••••••• I••• | Independent wealth | Aug 26, 2024 | Jul 21, 2025 | no | HUNTINGTON BEACH, CA|DENVER, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• G••••• A••••••• I••• | W••••• E••••••••• A••••••• S•••••••• L•• | Jul 21, 2025 | Jul 21, 2025 | 0 | Firm change | RIA to ibd |
| E•••••• C•••••• M••••••••• L•• | M••••• G••••• A••••••• I••• | Aug 20, 2019 | Aug 26, 2024 |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | Sep 13, 2018 | Aug 20, 2019 | no | Costa Mesa, CA|ARLINGTON, VA | Previous registration |
| T•••• A•••••••• L•• | Former SEC adviser | Oct 28, 2013 | Aug 21, 2017 | no | JACKSONVILLE, FL|JACKSONVILLE, FL|ATLANTA, GA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Nov 9, 2010 | Dec 7, 2012 | no | JACKSONVILLE, FL|JACKSONVILLE, FL|NEW YORK, NY | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Mar 6, 2008 | Apr 23, 2009 | no | TAMPA, FL | Previous registration |
| 1,833 |
| Firm change after gap |
| RIA to RIA |
| T•••• A•••••••• L•• | E•••••• C•••••• M••••••••• L•• | Aug 21, 2017 | Sep 13, 2018 | 388 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | T•••• A•••••••• L•• | Dec 7, 2012 | Oct 28, 2013 | 325 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Apr 23, 2009 | Nov 9, 2010 | 565 | Firm change after gap | Other |