DFX Intelligence

S••••••• M•••• F•••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

S••••••• M•••• F•••••

Advisor at O•••••••• F•••••••• S••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9780d3f9-966c-4b7e-6be3-272a7b6e7599

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 27, 2004 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•••••••• F•••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 26, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom 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•••••••• F•••••••• S••••••• L••	Independent wealth	Sep 15, 2021	n/a	yes	BIRMINGHAM, AL\|Laguna Niguel, CA\|Trevor, WI	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Aug 27, 2004	Sep 15, 2021	no	MISSION VIEJO, CA\|BREA, CA\|BREA, CA\|CORONA, CA\|GLENDALE, CA\|GLENDALE, CA\|IRVINE, CA\|Kenosha, WI\|Trevor, WI\|Laguna Niguel, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	O•••••••• F•••••••• S••••••• L••	Sep 15, 2021	Sep 15, 2021	0	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ O•••••••• F•••••••• S••••••• L••Registered adviserregistration: current employment
Sep 15, 2021 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Aug 27, 2004 to Sep 15, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9780d3f9-966c-4b7e-6be3-272a7b6e7599
First observed: Aug 27, 2004
Last observed: Sep 15, 2026 7 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.