DFX Intelligence

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

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

D••• L• R•••••••

Advisor at O•••• W•••••• I•••

SCOTTSDALE, AZ | Palm Coast, FL

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Search this name across graphsid dfx:ria:8820fc4a-45e0-1fbe-ba7a-95f137aef86f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 23, 2005 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•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 29, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	Aug 29, 2023	n/a	yes	Palm Coast, FL\|SCOTTSDALE, AZ	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Aug 2, 2018	Jun 14, 2024	no	APPLETON, WI\|DE PERE, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 14, 2024	Aug 29, 2023	-290	Bulk transfer	Ibd to ibd
S•• I••••••••• I•••	I••••••••• C•••••• O• A••••••• I•••	Mar 19, 2018	Oct 21, 2013

Relationships

Registered with (6)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Aug 29, 2023 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 2, 2018 to Jun 14, 2024factForm ADV
→ I••••••••• C•••••• O• A••••••• I•••Registered adviserregistration: previous registration
Oct 21, 2013 to Mar 19, 2018factForm ADV
→ S•• I••••••••• I•••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 14, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8820fc4a-45e0-1fbe-ba7a-95f137aef86f
First observed: Aug 23, 2005
Last observed: Sep 15, 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.