DFX Intelligence

G••••• W•••• N••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

G••••• W•••• N••••••

Advisor at O•••• A••••••• S•••••••• L••

Appleton, WI | ATLANTA, GA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 1, 2001 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•••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 3, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• A••••••• S•••••••• L••	Bd affiliated wealth	Sep 28, 2020	n/a	yes	Appleton, WI\|ATLANTA, GA	Current employment
T•••• A•••••••• L••	Former SEC adviser	Jul 2, 2020	Mar 11, 2021	no	APPLETON, WI\|ATLANTA, GA\|APPLETON, WI\|BROOKFIELD, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•••• A•••••••• L••	O•••• A••••••• S•••••••• L••	Mar 11, 2021	Sep 28, 2020	-164	Firm change after gap	Ibd to ibd
O•••••• C••••••• I••	E•••• O•• I••••••••• L••	Dec 31, 2020	Sep 17, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
109993:45254:WI:2020-12-31	Dec 31, 2020	Sep 17, 2009	BROOKFIELD, WI	Firm change after gap

Relationships

Registered with (5)

→ O•••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 28, 2020 to presentfactForm ADV
→ T•••• A•••••••• L••Registered adviserregistration: previous registration
Jul 2, 2020 to Mar 11, 2021factForm ADV
→ O•••••• C••••••• I••Registered adviserregistration: previous registration
Dec 18, 2008 to Dec 31, 2020factForm ADV
→ E•••• O•• I••••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 1, 2001
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.