DFX Intelligence

D•••••• G••• M••••••: 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)29 years in industry

D•••••• G••• M••••••

Advisor at O•••• W•••••• I•••

TRABUCO CANYON, 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 graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Feb 11, 2002 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: Oct 17, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Aug 30, 2024	n/a	yes	TRABUCO CANYON, CA	Current employment
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Jul 15, 2022	Sep 3, 2024	no	TRABUCO CANYON, CA\|FALLBROOK, CA\|LOS ALAMITOS, CA\|LAGUNA BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• F•••••••• G••••• L••	O•••• W•••••• I•••	Sep 3, 2024	Aug 30, 2024	-4	Firm change	Ibd to ibd
N•• F•••••••• G••••• L••	I••••••••• F•••••••• G••••• L••	Jul 15, 2022	Jul 15, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
137743:7717:CA:2022-07-15	Jul 15, 2022	Jul 15, 2022	IRVINE, CA	Firm change

Relationships

Registered with (5)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Aug 30, 2024 to presentfactForm ADV
→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Jul 15, 2022 to Sep 3, 2024factForm ADV
→ N•• F•••••••• G••••• L••Registered adviserregistration: previous registration
May 25, 2007 to Jul 15, 2022factForm ADV
→ A••••••••• P••••••• I••••••••• A••••••• I••

Dated events

Order

Occurred
3 Sep 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
15 Jul 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 11, 2002
Last observed: Sep 14, 2026 10 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.