DFX Intelligence

M••• F•••••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

M••• F•••••• C••••••

Advisor at O•••• W•••••• I•••

San Marcos, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 15, 2009 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: Mar 12, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom 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	Jan 19, 2024	n/a	yes	San Marcos, CA	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Dec 1, 2016	Jan 19, 2024	no	CARLSBAD, CA\|SAN DIEGO, CA\|CARLSBAD, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	O•••• W•••••• I•••	Jan 19, 2024	Jan 19, 2024	0	Bulk transfer	Ibd to ibd
S••••••••• A•••••• A•••••••• I•••	W••••••• F•••••••• S•••••••• I•••	Dec 1, 2016	Dec 1, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
110518:421:CA:2016-12-01	Dec 1, 2016	Dec 1, 2016	CARLSBAD, CA	Firm change

Relationships

Registered with (6)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jan 19, 2024 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 1, 2016 to Jan 19, 2024factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
May 27, 2014 to Dec 1, 2016factForm ADV
→ U••• B•••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 15, 2009
Last observed: Sep 14, 2026 9 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.