DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Personal Financial Specialist18 years in industry

L•••• F••••••

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

COCONUT GROVE, FL | PLYMOUTH, MN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 6, 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: W••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 29, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Oct 27, 2021	n/a	yes	COCONUT GROVE, FL\|PLYMOUTH, MN	Current employment
I••••••• S••••••••	Former SEC adviser	Feb 4, 2015	Nov 19, 2021	no	COCONUT GROVE, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••• S••••••••	W••••• E••••••••• A••••••• S•••••••• L••	Nov 19, 2021	Oct 27, 2021	-23	Firm change	RIA to ibd
S•••••••• F••••••••• I•••	I••••••• S••••••••	Jun 21, 2012	Feb 4, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
106532:116407:FL:2021-11-19	Nov 19, 2021	Oct 27, 2021	COCONUT GROVE, FL	Firm change

Relationships

Registered with (6)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 27, 2021 to presentfactForm ADV
→ I••••••• S••••••••Registered adviserregistration: previous registration
Feb 4, 2015 to Nov 19, 2021factForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Jul 15, 2011 to Jun 21, 2012factForm ADV
→ E•••••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 6, 2009
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.