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R•••• F••••• M•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)44 years in industry

R•••• F••••• M•••••••

Advisor at O••••••••• • C•• I•••

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:00665d3a-49d8-0e36-2d1d-f2ca68f93678

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: O••••••••• • C•• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 8, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 23derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• • C•• I•••	Bd affiliated wealth	Jun 6, 2003	n/a	yes	LOS ANGELES, CA	Current employment
M••••• S•••••• D• I•••	n/a	May 28, 2003	Jun 9, 2003	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S•••••• D• I•••	O••••••••• • C•• I•••	Jun 9, 2003	Jun 6, 2003	-3	Firm change	Other
C•••••••• G••••• M•••••• I•••	M••••• S•••••• D• I•••	Sep 24, 2002

Relationships

Registered with (3)

→ O••••••••• • C•• I•••Registered adviserregistration: current employment
Jun 6, 2003 to presentfactForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
May 28, 2003 to Jun 9, 2003factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Sep 24, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:00665d3a-49d8-0e36-2d1d-f2ca68f93678
First observed: Jul 8, 1997
Last observed: Sep 14, 2026 8 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.