DFX Intelligence

G••••• T••••• E•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)47 years in industry

G••••• T••••• E•••••••

Advisor at O••••••••• • C•• I•••

CARLSBAD, CA | NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:af5e4b7a-b39c-0e25-f7d8-7c3020580e2d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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••••••••• • C•• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 13, 1979earliest registration or exam on IAPD
Years in industry: 47derivedfrom the industry start date
Years at current firm: 23derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• • C•• I•••	Bd affiliated wealth	Jan 3, 2003	n/a	yes	CARLSBAD, CA\|NEWPORT BEACH, CA	Current employment
C••• W•••• M•••••• C••••	n/a	Jul 8, 1997	Jan 3, 2003	no	LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• W•••• M•••••• C••••	O••••••••• • C•• I•••	Jan 3, 2003	Jan 3, 2003	0	Bulk transfer	Other

Relationships

Registered with (2)

→ O••••••••• • C•• I•••Registered adviserregistration: current employment
Jan 3, 2003 to presentfactForm ADV
→ C••• W•••• M•••••• C••••Registered adviserregistration: previous registration
Jul 8, 1997 to Jan 3, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:af5e4b7a-b39c-0e25-f7d8-7c3020580e2d
First observed: Jul 8, 1997
Last observed: Sep 15, 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.