DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

L•••••• A••• K•••••••

Advisor at G•••••• W••••• P•••••••• L••

APPLETON, WI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 1, 2015 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: G•••••• W••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G•••••• W••••• P•••••••• L••	Independent wealth	Jun 14, 2024	n/a	yes	APPLETON, WI	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Nov 4, 2021	Jun 18, 2024	no	GREEN BAY, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	G•••••• W••••• P•••••••• L••	Jun 18, 2024	Jun 14, 2024	-4	Firm change	Wirehouse to RIA
R•• C•••••• M••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Nov 18, 2021

Relationships

Registered with (6)

→ G•••••• W••••• P•••••••• L••Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 4, 2021 to Jun 18, 2024factForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Jan 9, 2017 to Nov 18, 2021factForm ADV
→ I••••••••• C•••••• O• A••••••• I•••

Dated events

Order

Occurred
18 Jun 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 1, 2015
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.