DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

D••••• M•••••• V•••••

Advisor at O•••• W•••••• I•••

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:3431fb4b-2454-bd0f-094d-a0d42af96074

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 9, 2009 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: Jul 31, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jan 12, 2017	n/a	yes	SCOTTSDALE, AZ	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Jan 12, 2017	Sep 1, 2023	no	SCOTTSDALE, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	O•••• W•••••• I•••	Jan 19, 2024	Jan 12, 2017	-2,563	Bulk transfer	Other
F•• S••••••••• C•••••••••	W••••••• F•••••••• S•••••••• I•••	Nov 3, 2023	Jan 12, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
7461:421:GA:2023-11-03	Nov 3, 2023	Jan 12, 2017	ATLANTA, GA	Firm change after gap
133763:7461:AZ:2023-09-01	Sep 1, 2023	Jan 12, 2017	SCOTTSDALE, AZ	Firm change after gap

Relationships

Registered with (6)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jan 12, 2017 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 12, 2017 to Jan 19, 2024factForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jan 12, 2017 to Nov 3, 2023factForm ADV
→ S•••••••• F••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3431fb4b-2454-bd0f-094d-a0d42af96074
First observed: Apr 9, 2009
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.