DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

S•••••• E•••••••• N•••••

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

PLYMOUTH, MN | SAGINAW, MI

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Search this name across graphsid dfx:ria:e174a54f-02ff-f895-57d3-d952d1f4ef11

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 20, 2010 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: Mar 31, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Dec 8, 2025	n/a	yes	PLYMOUTH, MN\|SAGINAW, MI	Current employment
L••• K••• • C••••••	Former SEC adviser	Nov 24, 2021	Dec 9, 2025	no	CINCINNATI, OH\|SAGINAW, MI\|CINCINNATI, OH\|CINCINNATI, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••• K••• • C••••••	W••••• E••••••••• A••••••• S•••••••• L••	Dec 9, 2025	Dec 8, 2025	-1	Firm change	RIA to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L••• K••• • C••••••	Nov 23, 2021	Nov 24, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
27913:116407:OH:2025-12-09	Dec 9, 2025	Dec 8, 2025	CINCINNATI, OH	Firm change
149777:7691:MI:2015-11-20	Nov 20, 2015	Nov 17, 2015	SAGINAW, MI	Firm change

Relationships

Registered with (4)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Dec 8, 2025 to presentfactForm ADV
→ L••• K••• • C••••••Registered adviserregistration: previous registration
Nov 24, 2021 to Dec 9, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 17, 2015 to Nov 23, 2021factForm ADV
→ M••••• S••••••

Dated events

Occurred
Dec 9, 2025
Advisor changed firm
S•••••• E•••••••• N••••• left L••• K••• • C•••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-12-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e174a54f-02ff-f895-57d3-d952d1f4ef11
First observed: Oct 20, 2010
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.