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T••••• K•••••••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

T••••• K•••••••• W•••••

Advisor at O•••• W•••••• I•••

HUNTINGTON BEACH, CA

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Search this name across graphsid dfx:ria:baec1039-ba9a-7074-5107-b26df8690f7f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 20, 2007 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: Feb 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• R•••••••• A•• I••••••••• I••	State registered	Jun 24, 2019	n/a	yes	HUNTINGTON BEACH, CA	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Nov 2, 2018	n/a	yes	HUNTINGTON BEACH, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• R•••••••• • I••••••••• I•••	C•••••• R•••••••• A•• I••••••••• I••	Aug 25, 2019	Jun 24, 2019	-62	Firm change after gap	Other
S••••••• I••••••••• I•••	O•••• W•••••• I•••	Nov 2, 2018	Nov 2, 2018

Relationships

Registered with (6)

→ C•••••• R•••••••• A•• I••••••••• I••Registered adviserregistration: current employment
Jun 24, 2019 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 2, 2018 to presentfactForm ADV
→ C•••••• R•••••••• • I••••••••• I•••Registered adviserregistration: previous registration
Feb 11, 2019 to Aug 25, 2019factForm ADV
→ S••••••• I••••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:baec1039-ba9a-7074-5107-b26df8690f7f
First observed: Jun 20, 2007
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.