DFX Intelligence

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

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RIA / WealthAdvisor14 years in industry

P•••• A•••••• S••••••••

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

PLYMOUTH, MN | MALVERN, PA

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Search this name across graphsid dfx:ria:f93c0238-082b-3a16-d152-747a23e5cacf

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 16, 2012 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: Apr 2, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jul 1, 2021	n/a	yes	PLYMOUTH, MN\|MALVERN, PA	Current employment
H••••• F•••••••• A•••••••• I•••	Former SEC adviser	Feb 19, 2014	Jul 8, 2021	no	MALVERN, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••• F•••••••• A•••••••• I•••	W••••• E••••••••• A••••••• S•••••••• L••	Jul 8, 2021	Jul 1, 2021	-7	Firm change	RIA to ibd
M••••• S••••••	H••••• F•••••••• A•••••••• I•••	Feb 10, 2014	Feb 19, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
133979:116407:PA:2021-07-08	Jul 8, 2021	Jul 1, 2021	MALVERN, PA	Firm change

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 1, 2021 to presentfactForm ADV
→ H••••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 19, 2014 to Jul 8, 2021factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
May 16, 2012 to Feb 10, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f93c0238-082b-3a16-d152-747a23e5cacf
First observed: May 16, 2012
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.