DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)51 years in industry

A••••• J••• G••••

Advisor at O•••• W•••••• I•••

Carolina Shores, NC

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Search this name across graphsid dfx:ria:9350b4a5-29b4-d708-1bde-981979858767

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 7, 2004 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 1, 1975earliest registration or exam on IAPD
Years in industry: 51derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Apr 26, 2021	n/a	yes	Carolina Shores, NC	Current employment
S••••••• I••••••••• I•••	Former SEC adviser	Sep 7, 2004	Dec 31, 2017	no	GREAT NECK, NY\|ASTORIA, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• I••••••••• I•••	O•••• W•••••• I•••	Dec 31, 2017	Apr 26, 2021	1,212	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
468:23131:NY:2017-12-31	Dec 31, 2017	Apr 26, 2021	ASTORIA, NY	Firm change after gap

Relationships

Registered with (2)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Apr 26, 2021 to presentfactForm ADV
→ S••••••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 7, 2004 to Dec 31, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9350b4a5-29b4-d708-1bde-981979858767
First observed: Sep 7, 2004
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.