DFX Intelligence

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

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RIA / WealthAdvisor30 years in industry

S••••• R••••• C•••••

Advisor at O•• C•••••• M••••••••• L••

WESTLAKE VILLAGE, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 18, 1996 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•• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 28, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 22derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•• C•••••• M••••••••• L••	Independent wealth	Jan 21, 2004	n/a	yes	WESTLAKE VILLAGE, CA	Current employment
C•••••• F•••••••• M••••••••• I•••	Former SEC adviser	May 19, 2004	Apr 17, 2008	no	DENVER, CO\|DENVER, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• F•••••••• M••••••••• I•••	n/a	Apr 17, 2008	n/a	n/a	Departure no registered destination	Departure
O••••••••• • C•• I•••	O•• C•••••• M••••••••• L••	Jan 15, 2004	Jan 21, 2004	6

Relationships

Registered with (4)

→ O•• C•••••• M••••••••• L••Registered adviserregistration: current employment
Jan 21, 2004 to presentfactForm ADV
→ C•••••• F•••••••• M••••••••• I•••Registered adviserregistration: previous registration
May 19, 2004 to Apr 17, 2008factForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Jan 3, 2003 to Jan 15, 2004factForm ADV
→ C••• W•••• M•••••• C••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 18, 1996
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.