DFX Intelligence

A•••• R••••• 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 / WealthAdvisordual registered (broker-dealer)17 years in industry

A•••• R••••• M••••••••

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

CENTENNIAL, CO | PLYMOUTH, MN

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:f3e88088-3339-3543-0b24-38bac8b9c196

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 3, 2009 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: Feb 20, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Nov 1, 2024	n/a	yes	CENTENNIAL, CO\|PLYMOUTH, MN	Current employment
H••••••••• G•••• E••••• • R••••••••• S•••••••••	Former SEC adviser	Nov 16, 2020	Nov 1, 2024	no	Centennial, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••••••• G•••• E••••• • R••••••••• S•••••••••	W••••• E••••••••• A••••••• S•••••••• L••	Nov 1, 2024	Nov 1, 2024	0	Firm change	RIA to ibd
W•••• F•••• A•••••••	H••••••••• G•••• E••••• • R••••••••• S•••••••••	Nov 17, 2020	Nov 16, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
169045:116407:CO:2024-11-01	Nov 1, 2024	Nov 1, 2024	CENTENNIAL, CO	Firm change
5393:104555:CO:2015-03-10	Mar 10, 2015	Apr 22, 2015	LONE TREE, CO	Firm change

Relationships

Registered with (6)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 1, 2024 to presentfactForm ADV
→ H••••••••• G•••• E••••• • R••••••••• S•••••••••Registered adviserregistration: previous registration
Nov 16, 2020 to Nov 1, 2024factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 24, 2019 to Nov 17, 2020factForm ADV
→ S•••••••• A••••••• L••

Dated events

Occurred
Nov 1, 2024
Advisor changed firm
A•••• R••••• M•••••••• left H••••••••• G•••• E••••• • R••••••••• S••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-11-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3e88088-3339-3543-0b24-38bac8b9c196
First observed: Mar 3, 2009
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.