N•••• A•• P••••

Advisor at O•••• W•••••• I•••

CAMPBELL, CA | SANTA CRUZ, CA

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Search this name across graphsid dfx:ria:6a0326b6-6de3-b369-893c-d7d46f4faade

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 28, 2006 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 public••• Locked
Industry start: Jan 23, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jan 24, 2025	n/a	yes	SANTA CRUZ, CA\|CAMPBELL, CA	Current employment
O•••• F•• I•••	Former SEC adviser	Oct 22, 2020	Jan 24, 2025	no	San Jose, CA\|SAN RAMON, CA\|SAN RAMON, CA\|FAIRFIELD, CA\|CAMPBELL, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	O•••• W•••••• I•••	Jan 24, 2025	Jan 24, 2025	0	Bulk transfer	Ibd to ibd
N•• A••••••• S••••••• I••	O•••• F•• I•••	Nov 4, 2020	Oct 22, 2020

Relationships

Registered with (5)

→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jan 11, 2011 to Feb 5, 2013factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Oct 22, 2020 to Jan 24, 2025factForm ADV
→ N•• A••••••• S••••••• I••Registered adviserregistration: previous registration
Feb 14, 2017 to Nov 4, 2020factForm ADV
→ W••• A•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a0326b6-6de3-b369-893c-d7d46f4faade
First observed: Feb 28, 2006
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.