DFX Intelligence

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

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

A••••• G• R•••••

Advisor at O••••••••• S••••••••• I•••

Carlsbad, CA | INDIANAPOLIS, IN

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Search this name across graphsid dfx:ria:ab939e45-26b0-099b-824b-54b78e36af80

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 23, 2013 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••••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 22, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• S••••••••• I•••	Bd affiliated wealth	Jan 2, 2024	n/a	yes	Carlsbad, CA\|INDIANAPOLIS, IN	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	May 3, 2018	Dec 31, 2023	no	CARLSBAD, CA\|CARLSBAD, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	O••••••••• S••••••••• I•••	Dec 31, 2023	Jan 2, 2024	2	Firm change	Ibd to ibd
E•••••• A•• W•••• F•••••••• L••	W••••••• F•••••••• S•••••••• I•••	Jun 1, 2018	May 3, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
126052:281230:CA:2016-09-14	Sep 14, 2016	Mar 15, 2016	SAN DIEGO, CA	Firm change after gap

Relationships

Registered with (5)

→ O••••••••• S••••••••• I•••Registered adviserregistration: current employment
Jan 2, 2024 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 3, 2018 to Dec 31, 2023factForm ADV
→ E•••••• A•• W•••• F•••••••• L••Registered adviserregistration: previous registration
Mar 15, 2016 to Jun 1, 2018factForm ADV
→ F•••••• I••••••••• M••••••••• I•••

Dated events

Occurred
Dec 31, 2023
Advisor changed firm
A••••• G• R••••• left W••••••• F•••••••• S•••••••• I••• for O••••••••• S••••••••• I••• (registered 2024-01-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab939e45-26b0-099b-824b-54b78e36af80
First observed: Jan 23, 2013
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.