DFX Intelligence

D••••• A••••• S•••••: 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 / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)39 years in industry

D••••• A••••• S•••••

Advisor at O••••••••• S••••••••• I•••

INDIANAPOLIS, IN | 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:5f56893d-b0c6-742b-e5e3-a031927d95a2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 31, 2002 to Sep 15, 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••••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 25, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• S••••••••• I•••	Bd affiliated wealth	Feb 17, 2009	n/a	yes	Scottsdale, AZ\|INDIANAPOLIS, IN	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Sep 12, 2006	Jan 6, 2009	no	Scottsdale, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	O••••••••• S••••••••• I•••	Jan 6, 2009	Feb 17, 2009	42	Firm change	Other
P••• A••••• S••••••••• L••	M•• I•••••••• S•••••••• L••	Aug 22, 2006	Sep 12, 2006

Relationships

Registered with (3)

→ O••••••••• S••••••••• I•••Registered adviserregistration: current employment
Feb 17, 2009 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Sep 12, 2006 to Jan 6, 2009factForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Jan 31, 2002 to Aug 22, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f56893d-b0c6-742b-e5e3-a031927d95a2
First observed: Jan 31, 2002
Last observed: Sep 15, 2026 7 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.