DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

D••••• J••• D•••

Advisor at O•••• W•••••• I•••

COTO DE CAZA, CA

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Search this name across graphsid dfx:ria:86510640-4987-0f74-194b-d047c6d7f506

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 19, 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 public••• Locked
Industry start: Sep 17, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom 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	Jan 19, 2024	n/a	yes	COTO DE CAZA, CA	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Sep 15, 2006	Jan 19, 2024	no	MISSION VIEJO, CA\|SAN DIEGO, CA\|COTO DE CAZA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	O•••• W•••••• I•••	Jan 19, 2024	Jan 19, 2024	0	Bulk transfer	Ibd to ibd
H••••••••• G••••• E••••• • R••••••••• S•••••••••	W••••••• F•••••••• S•••••••• I•••	Oct 13, 2006	Sep 15, 2006

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jan 19, 2024 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 15, 2006 to Jan 19, 2024factForm ADV
→ H••••••••• G••••• E••••• • R••••••••• S•••••••••Registered adviserregistration: previous registration
Jun 19, 2003 to Oct 13, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:86510640-4987-0f74-194b-d047c6d7f506
First observed: Jun 19, 2003
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.