DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner44 years in industry

E••••• F• S••••••

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

PLYMOUTH, MN | BURLINGTON, MA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 23, 1994 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 21, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 4derivedfrom 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 22, 2022	n/a	yes	PLYMOUTH, MN\|BURLINGTON, MA	Current employment
P••••••• P•••••• W•••••• L••	Former SEC adviser	Jan 11, 2019	Sep 22, 2022	no	BURLINGTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• P•••••• W•••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Sep 22, 2022	Sep 22, 2022	0	Firm change	RIA to ibd
S•••••••• A••••••• L••	P••••••• P•••••• W•••••• L••	Jul 12, 2017	Jan 11, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
170315:116407:MA:2022-09-22	Sep 22, 2022	Sep 22, 2022	BURLINGTON, MA	Firm change

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 22, 2022 to presentfactForm ADV
→ P••••••• P•••••• W•••••• L••Registered adviserregistration: previous registration
Jan 11, 2019 to Sep 22, 2022factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Nov 23, 1994 to Jul 12, 2017factForm ADV

Dated events

Order

Occurred
22 Sep 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 23, 1994
Last observed: Sep 15, 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.