DFX Intelligence

G••••••• H••••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

G••••••• H••••• S•••••

Advisor at O•••• W•••••• I•••

Thousand Oaks, CA

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Search this name across graphsid dfx:ria:b3ae515c-61ff-bbeb-4509-16f0e0208415

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 20, 2006 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: Aug 15, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Nov 5, 2024	n/a	yes	Thousand Oaks, CA	Current employment
O•••••••••	Institutional manager	Dec 3, 2018	Jan 16, 2025	no	Westlake Village, CA\|OVERLAND PARK, KS\|Thousand Oaks, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••••••••	O•••• W•••••• I•••	Jan 16, 2025	Nov 5, 2024	-72	Firm change after gap	Other
I••••••••• F•••••••• P•••••••	O•••••••••	Dec 31, 2018	Dec 3, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
125112:106766:CA:2018-12-24	Dec 31, 2018	Dec 3, 2018	WESTLAKE VILLAGE, CA	Firm change

Relationships

Registered with (5)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 5, 2024 to presentfactForm ADV
→ O•••••••••Registered adviserregistration: previous registration
Dec 3, 2018 to Jan 16, 2025factForm ADV
→ I••••••••• F•••••••• P•••••••Registered adviserregistration: previous registration
Feb 25, 2015 to Dec 31, 2018factForm ADV
→ I••••••••• F•••••••• G••••• L••

Dated events

Occurred
Jan 16, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3ae515c-61ff-bbeb-4509-16f0e0208415
First observed: Oct 20, 2006
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.