DFX Intelligence

R•••• E••••• T•••••: 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 / WealthAdvisordual registered (broker-dealer)42 years in industry

R•••• E••••• T•••••

Advisor at O•••• W•••••• I•••

MAUMEE, OH

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:ab5d0f83-ef13-eb5b-ebd3-3d3609f98559

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 26, 2001 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: Jun 1, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 13derivedfrom 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	Jul 5, 2013	n/a	yes	MAUMEE, OH	Current employment
W••••• S••••• S••••••••• I•••	Former SEC adviser	Apr 10, 2006	Jul 12, 2013	no	TOLEDO, OH\|TOLEDO, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••• S••••• S••••••••• I•••	O•••• W•••••• I•••	Jul 12, 2013	Jul 5, 2013	-7	Bulk transfer	Other
W••••• S••••• A••••••• I••	W••••• S••••• S••••••••• I•••	Nov 3, 2006	Apr 10, 2006

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jul 5, 2013 to presentfactForm ADV
→ W••••• S••••• S••••••••• I•••Registered adviserregistration: previous registration
Apr 10, 2006 to Jul 12, 2013factForm ADV
→ W••••• S••••• A••••••• I••Registered adviserregistration: previous registration
Nov 26, 2001 to Nov 3, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab5d0f83-ef13-eb5b-ebd3-3d3609f98559
First observed: Nov 26, 2001
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.