DFX Intelligence

R•••••• E••• W•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

R•••••• E••• W•••••••••

Advisor at O•••• W•••••• I•••

Holbrook, NY

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Search this name across graphsid dfx:ria:00d11b8a-efb0-e695-668b-bdf9b8499a97

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 3, 2004 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•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 15, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Oct 11, 2024	n/a	yes	Holbrook, NY	Current employment
A••••••• P••••••••• A•••••••• I••	Former SEC adviser	Sep 27, 2018	Oct 11, 2024	no	HOLBROOK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• P••••••••• A•••••••• I••	O•••• W•••••• I•••	Oct 11, 2024	Oct 11, 2024	0	Bulk transfer	Ibd to ibd
N•••••••• A•••• M••••••••• L••	A••••••• P••••••••• A•••••••• I••	Dec 31, 2018	Sep 27, 2018

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Oct 11, 2024 to presentfactForm ADV
→ A••••••• P••••••••• A•••••••• I••Registered adviserregistration: previous registration
Sep 27, 2018 to Oct 11, 2024factForm ADV
→ N•••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jan 24, 2007 to Dec 31, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:00d11b8a-efb0-e695-668b-bdf9b8499a97
First observed: Sep 3, 2004
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.