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E•••• S•••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

E•••• S•••• P•••••

Advisor at O•••• W•••••• I•••

MERCER ISLAND, WA | Kirkland, WA

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Search this name across graphsid dfx:ria:91ff5433-5186-72d1-d9a5-2b238f03c395

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2017 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: Jun 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 5derivedfrom 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	Nov 3, 2020	n/a	yes	Kirkland, WA\|MERCER ISLAND, WA	Current employment
H•••••• T••••••• • K•••• L••	Independent wealth	Dec 20, 2017	Nov 2, 2020	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
H•••••• T••••••• • K•••• L••	O•••• W•••••• I•••	Nov 2, 2020	Nov 3, 2020	1	Bulk transfer	Ibd to ibd

Relationships

Registered with (2)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 3, 2020 to presentfactForm ADV
→ H•••••• T••••••• • K•••• L••Registered adviserregistration: previous registration
Dec 20, 2017 to Nov 2, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91ff5433-5186-72d1-d9a5-2b238f03c395
First observed: Dec 20, 2017
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.