DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

S•••• M•••••• M••••

Advisor at O•••• W•••••• I•••

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:201c4a7d-32ec-f976-52de-483f00607e6f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 24, 2005 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: Jan 24, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Sep 1, 2023	n/a	yes	SCOTTSDALE, AZ	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	May 24, 2023	Sep 1, 2023	no	Fort Lauderdale, FL\|SCOTTSDALE, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	O•••• W•••••• I•••	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
L•• F•••••••• L••	S•••••••• F••••••••• I•••	Oct 20, 2022	May 24, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:133763:SC:2022-10-20	Oct 20, 2022	May 24, 2023	FORT MILL, SC	Firm change

Relationships

Registered with (6)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Sep 1, 2023 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
May 24, 2023 to Sep 1, 2023factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 3, 2022 to Oct 20, 2022factForm ADV
→ W•••••• • R•••

Dated events

Occurred
Oct 20, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:201c4a7d-32ec-f976-52de-483f00607e6f
First observed: Jan 24, 2005
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.