DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner35 years in industry

S•••••• A•• A•••••

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

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, 8:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 11, 2012 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: Sep 6, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Mar 14, 2023	n/a	yes	PLYMOUTH, MN	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Apr 11, 2023	Apr 11, 2023	no	PLYMOUTH, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	n/a	Apr 11, 2023	n/a	n/a	Departure no registered destination	Departure
Q••••• H••• A•••••••	W••••• E••••••••• A••••••• S•••••••• L••	Mar 2, 2023	Mar 14, 2023	12

Relationships

Registered with (5)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 14, 2023 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 11, 2023 to Apr 11, 2023factForm ADV
→ Q••••• H••• A•••••••Registered adviserregistration: previous registration
Jan 20, 2020 to Mar 2, 2023factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

Order

Occurred
11 Apr 2023
Advisor departed, no destination yet
••• Locked
Form ADV
Occurred
2 Mar 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 11, 2012
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.