DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

S••• H••••• D•••••••

Advisor at O••••••••• • C•• I•••

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:28ab8adb-5710-36e4-0ba1-c7693913b046

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 12, 2003 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••••••••• • C•• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 6, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• • C•• I•••	Bd affiliated wealth	Jan 25, 2024	n/a	yes	NEWPORT BEACH, CA	Current employment
D••• D••••••• • C••	Independent wealth	Nov 25, 2013	Jan 29, 2024	no	NEWPORT BEACH, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••• D••••••• • C••	O••••••••• • C•• I•••	Jan 29, 2024	Jan 25, 2024	-4	Firm change	RIA to ibd
C•••••• W••••• • C••	D••• D••••••• • C••	Nov 25, 2013	Nov 25, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
199:249:CA:2024-01-29	Jan 29, 2024	Jan 25, 2024	NEWPORT BEACH, CA	Firm change

Relationships

Registered with (6)

→ O••••••••• • C•• I•••Registered adviserregistration: current employment
Jan 25, 2024 to presentfactForm ADV
→ D••• D••••••• • C••Registered adviserregistration: previous registration
Nov 25, 2013 to Jan 29, 2024factForm ADV
→ C•••••• W••••• • C••Registered adviserregistration: previous registration
Nov 4, 2013 to Nov 25, 2013factForm ADV
→ C••••••• W••••• • C••

Dated events

Occurred
Jan 29, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:28ab8adb-5710-36e4-0ba1-c7693913b046
First observed: May 12, 2003
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.