DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

T••••• E••••• R•••••

Advisor at O•••• W•••••• I•••

Tustin, CA | Lake Forest, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:24545040-6cf8-8599-3910-94ff09eda973

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 17, 1997 to Sep 15, 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: Aug 1, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 25derivedfrom 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	Jul 27, 2001	n/a	yes	Lake Forest, CA\|Tustin, CA	Current employment
L•• A••••••• S•••••••• L••	Former SEC adviser	Oct 22, 2008	May 1, 2015	no	SANTA ANA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• A••••••• S•••••••• L••	n/a	May 1, 2015	n/a	n/a	Departure no registered destination	Departure
L•••••• C•••••• M••••••••• I•••	O•••• W•••••• I•••	Jul 1, 2009	Jul 27, 2001	-2,896

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jul 27, 2001 to presentfactForm ADV
→ L•• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 22, 2008 to May 1, 2015factForm ADV
→ L•••••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Nov 17, 1997 to Jul 1, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:24545040-6cf8-8599-3910-94ff09eda973
First observed: Nov 17, 1997
Last observed: Sep 15, 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.