DFX Intelligence

L••••• D••• H•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

L••••• D••• H•••••

Advisor at O••••••••• • C•• I•••

BELLEVUE, WA | SEATTLE, WA

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Search this name across graphsid dfx:ria:61072e15-1558-d5c2-db9c-48173dee13ce

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 28, 1995 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••••••••• • C•• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 16, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• • C•• I•••	Bd affiliated wealth	Nov 13, 2007	n/a	yes	BELLEVUE, WA\|SEATTLE, WA	Current employment
O••••••••• A•••• M•••••••••	Bd affiliated wealth	Apr 15, 2003	Nov 14, 2007	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• A•••• M•••••••••	O••••••••• • C•• I•••	Nov 14, 2007	Nov 13, 2007	-1	Firm change	Other
C••• W•••• M•••••• C••••	O••••••••• A•••• M•••••••••	Jan 3, 2003	Apr 15, 2003

Relationships

Registered with (3)

→ O••••••••• • C•• I•••Registered adviserregistration: current employment
Nov 13, 2007 to presentfactForm ADV
→ O••••••••• A•••• M•••••••••Registered adviserregistration: previous registration
Apr 15, 2003 to Nov 14, 2007factForm ADV
→ C••• W•••• M•••••• C••••Registered adviserregistration: previous registration
Aug 28, 1995 to Jan 3, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:61072e15-1558-d5c2-db9c-48173dee13ce
First observed: Aug 28, 1995
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.