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E•••• J••• F•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

E•••• J••• F•••

Advisor at O•••• W•••••• I•••

SCOTTSDALE, AZ

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 graphsid dfx:ria:551d9686-5898-899c-6119-d393640656a7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 22, 1999 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 6, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Aug 12, 2025	n/a	yes	SCOTTSDALE, AZ	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Nov 16, 2020	Jun 20, 2024	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 20, 2024	Aug 12, 2025	418	Bulk transfer	Ibd to ibd
K•• F•••••••• S•••••••• I••	S••••••••• A•••••• A•••••••• I•••	Nov 18, 2020

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
10299:3866:CO:2018-02-28	Feb 28, 2018	Mar 16, 2018	GREENWOOD VILLAGE, CO	Firm change

Relationships

Registered with (5)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Aug 12, 2025 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 16, 2020 to Jun 20, 2024factForm ADV
→ K•• F•••••••• S•••••••• I••Registered adviserregistration: previous registration
Mar 16, 2018 to Nov 18, 2020factForm ADV
→ C••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:551d9686-5898-899c-6119-d393640656a7
First observed: Jun 22, 1999
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.