DFX Intelligence

R••• A••• G•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

R••• A••• G•••••••••

Advisor at O•••• W•••••• I•••

EMMAUS, PA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 28, 2006 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: Feb 25, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 5derivedfrom 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	May 20, 2021	n/a	yes	EMMAUS, PA	Current employment
W•••• F•••• A•••••••	Wirehouse	Sep 20, 2012	May 26, 2021	no	ALLENTOWN, PA\|HAWLEY, PA\|ALLENTOWN, PA\|HAWLEY, PA\|SCRANTON, PA\|ALLENTOWN, PA\|ALLENTOWN, PA\|SCRANTON, PA\|TREXLERTOWN, PA\|MACUNGIE, PA\|ALLENTOWN, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	O•••• W•••••• I•••	May 26, 2021	May 20, 2021	-6	Firm change	Wirehouse to ibd
C•••• I••••••••• S••••••• C••••	W•••• F•••• A•••••••	Oct 5, 2012	Sep 20, 2012

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
May 20, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Sep 20, 2012 to May 26, 2021factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Jul 1, 2009 to Oct 5, 2012factForm ADV
→ P•• W••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 28, 2006
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.