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

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RIA / WealthAdvisorCertified Financial Planner14 years in industry

A••••• S••••••••

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

PLYMOUTH, MN | SOUTH BURLINGTON, VT

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Search this name across graphsid dfx:ria:e7a65071-54d5-a8a6-1a43-ea7ba31d614c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Apr 4, 2014 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 18, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Nov 7, 2025	n/a	yes	PLYMOUTH, MN\|SOUTH BURLINGTON, VT	Current employment
C••••• L••• F••••••••• L••	Independent wealth	Sep 21, 2023	Oct 20, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• L••• F••••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Oct 20, 2025	Nov 7, 2025	18	Firm change	RIA to ibd
S••••• W••••• A•••••••• I•••	C••••• L••• F••••••••• L••	Aug 2, 2023

Relationships

Registered with (4)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 7, 2025 to presentfactForm ADV
→ C••••• L••• F••••••••• L••Registered adviserregistration: previous registration
Sep 21, 2023 to Oct 20, 2025factForm ADV
→ S••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2014 to Aug 2, 2023factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

Occurred
Oct 20, 2025
Advisor changed firm
A••••• S•••••••• left C••••• L••• F••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-11-07)
Form ADVobserved 7 days ago
Occurred
Aug 2, 2023
Advisor changed firm
A••••• S•••••••• left S••••• W••••• A•••••••• I••• for C••••• L••• F••••••••• L•• (registered 2023-09-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e7a65071-54d5-a8a6-1a43-ea7ba31d614c
First observed: Apr 4, 2014
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.