DFX Intelligence

S••••• D•••• G•••••••: 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 / WealthAdvisor25 years in industry

S••••• D•••• G•••••••

Advisor at O••••• P••••••• W••••• M•••••••••

JEFFERSONVILLE, IN | Irvington, NY

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 23, 2026, 4:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 7, 2013 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••••• P••••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••• P••••••• W••••• M•••••••••	Independent wealth	Dec 2, 2021	n/a	yes	JEFFERSONVILLE, IN\|Irvington, NY	Current employment
W•••••• • R•••	Former SEC adviser	Nov 7, 2013	Mar 8, 2018	no	NEW ROCHELLE, NY\|NEW YORK, NY\|MORRISTOWN, NJ\|CHARLEROI, PA\|NEW YORK, NY\|MORRISTOWN, NJ\|STAMFORD, CT\|LATHAM, NY\|HAMDEN, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• • R•••	O••••• P••••••• W••••• M•••••••••	Mar 8, 2018	Dec 2, 2021	1,365	Firm change after gap	Other

Relationships

Registered with (2)

→ O••••• P••••••• W••••• M•••••••••Registered adviserregistration: current employment
Dec 2, 2021 to presentfactForm ADV
→ W•••••• • R•••Registered adviserregistration: previous registration
Nov 7, 2013 to Mar 8, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 7, 2013
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.