DFX Intelligence

E••••• W•••••• Q••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)43 years in industry

E••••• W•••••• Q••••••

Advisor at O•••• W•••••• I•••

CARLSBAD, CA

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Search this name across graphsid dfx:ria:84712154-4a3f-6656-66bb-92560e624382

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 3, 1998 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: Feb 8, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Nov 3, 2023	n/a	yes	CARLSBAD, CA	Current employment
F•• S••••••••• C•••••••••	Former SEC adviser	Feb 27, 2009	Nov 3, 2023	no	CARLSBAD, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•• S••••••••• C•••••••••	O•••• W•••••• I•••	Nov 3, 2023	Nov 3, 2023	0	Bulk transfer	Ibd to ibd
A•••••••• C•••••• C•••••••••	F•• S••••••••• C•••••••••	Feb 27, 2009	Feb 27, 2009

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Feb 27, 2009 to Nov 3, 2023factForm ADV
→ A•••••••• C•••••• C•••••••••Registered adviserregistration: previous registration
Dec 3, 1998 to Feb 27, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:84712154-4a3f-6656-66bb-92560e624382
First observed: Dec 3, 1998
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.