DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

R••••• W•••• M•••••••

Advisor at O•••• W•••••• I•••

THE VILLAGES, FL | ORLANDO, FL

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Search this name across graphsid dfx:ria:11ad2780-aeb0-5130-3972-a5cdfb023222

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 6, 2015 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: Jun 1, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Nov 2, 2018	n/a	yes	ORLANDO, FL\|THE VILLAGES, FL	Current employment
S••••••• I••••••••• I•••	Former SEC adviser	May 13, 2016	Nov 2, 2018	no	GOLD RIVER, CA\|FRESNO, CA\|FRESNO, CA\|NASHVILLE, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• I••••••••• I•••	O•••• W•••••• I•••	Nov 2, 2018	Nov 2, 2018	0	Bulk transfer	Ibd to ibd
T••••••••• F•••••••• A•••••••• L••	S••••••• I••••••••• I•••	May 13, 2016	May 13, 2016

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 2, 2018 to presentfactForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
May 13, 2016 to Nov 2, 2018factForm ADV
→ T••••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Oct 6, 2015 to May 13, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11ad2780-aeb0-5130-3972-a5cdfb023222
First observed: Oct 6, 2015
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.