DFX Intelligence
Reading the graph
Reading the graph
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.
Advisor at W••••• E••••••••• A••••••• S•••••••• L••
APPLE VALLEY, MN | PLYMOUTH, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| W••••• E••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Jun 1, 2023 | n/a | yes | APPLE VALLEY, MN|PLYMOUTH, MN | Current employment |
| G•••••• W••••• P•••••••• L•• | Independent wealth | Oct 6, 2022 | Jun 15, 2023 | no | APPLETON, WI|Apple Valley, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•••••• W••••• P•••••••• L•• | W••••• E••••••••• A••••••• S•••••••• L•• | Jun 15, 2023 | Jun 1, 2023 | -14 | Firm change | RIA to RIA |
| A•••••••• P•••• I••• | G•••••• W••••• P•••••••• L•• | Dec 31, 2022 | Oct 6, 2022 |
| A•••••••• P•••• I••• | Former SEC adviser | Jan 24, 2017 | Dec 31, 2022 | no | Apple Valley, MN|APPLETON, WI | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Jan 21, 2014 | May 9, 2017 | no | APPLE VALLEY, MN | Previous registration |
| -86 |
| Bulk transfer |
| RIA to new firm |
| L•• F•••••••• L•• | A•••••••• P•••• I••• | May 9, 2017 | Jan 24, 2017 | -105 | Firm change after gap | Other |