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C••••• A•••• M•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

C••••• A•••• M•••••••

Advisor at O•••• W•••••• I•••

Roseville, CA

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Search this name across graphsid dfx:ria:6b3c7c45-7505-cc3f-c8b6-0ed8562d21f1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2003 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 16, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Oct 11, 2024	n/a	yes	Roseville, CA	Current employment
A••••••• P••••••••• A•••••••• I••	Former SEC adviser	Jul 21, 2017	Oct 11, 2024	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• P••••••••• A•••••••• I••	O•••• W•••••• I•••	Oct 11, 2024	Oct 11, 2024	0	Bulk transfer	Ibd to ibd
W•••••• I••••••••• S•••••••••	A••••••• P••••••••• A•••••••• I••	Jul 21, 2017

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Oct 11, 2024 to presentfactForm ADV
→ A••••••• P••••••••• A•••••••• I••Registered adviserregistration: previous registration
Jul 21, 2017 to Oct 11, 2024factForm ADV
→ W•••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Jan 2, 2015 to Jul 21, 2017factForm ADV
→ G•• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6b3c7c45-7505-cc3f-c8b6-0ed8562d21f1
First observed: Jul 30, 2003
Last observed: Sep 14, 2026 8 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.