DFX Intelligence

N••••• S•• L•• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)39 years in industry

N••••• S•• L•• C••••••

Advisor at O•••• W•••••• I•••

HONOLULU, HI

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Search this name across graphsid dfx:ria:3ba75ea9-0f88-baa6-47f6-1d2b4f7c609c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 3, 1994 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 2, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jan 19, 2024	n/a	yes	HONOLULU, HI	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Mar 1, 2019	Jan 19, 2024	no	HONOLULU, HI	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	O•••• W•••••• I•••	Jan 19, 2024	Jan 19, 2024	0	Bulk transfer	Ibd to ibd
Q•••••• A•••• M••••••••• I•••	W••••••• F•••••••• S•••••••• I•••	Mar 1, 2019	Mar 1, 2019

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jan 19, 2024 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 1, 2019 to Jan 19, 2024factForm ADV
→ Q•••••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Dec 15, 2016 to Mar 1, 2019factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ba75ea9-0f88-baa6-47f6-1d2b4f7c609c
First observed: Jan 3, 1994
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.