DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor10 years in industry

L•••••• M•• M••••••

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

PLYMOUTH, MN | NOVATO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d3a4a4cc-8c4c-7956-7c37-32cc53a0da76

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Dec 21, 2017 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: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	Apr 3, 2023	n/a	yes	NOVATO, CA\|PLYMOUTH, MN	Current employment
E••••• P•••••••• I•••	Former SEC adviser	Dec 21, 2017	Apr 28, 2023	no	NOVATO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• P•••••••• I•••	W••••• E••••••••• A••••••• S•••••••• L••	Apr 28, 2023	Apr 3, 2023	-25	Firm change	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
110450:116407:CA:2023-04-28	Apr 28, 2023	Apr 3, 2023	NOVATO, CA	Firm change

Relationships

Registered with (2)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Apr 3, 2023 to presentfactForm ADV
→ E••••• P•••••••• I•••Registered adviserregistration: previous registration
Dec 21, 2017 to Apr 28, 2023factForm ADV

Dated events

Occurred
Apr 28, 2023
Advisor changed firm
L•••••• M•• M•••••• left E••••• P•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-04-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d3a4a4cc-8c4c-7956-7c37-32cc53a0da76
First observed: Dec 21, 2017
Last observed: Sep 15, 2026 7 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.