DFX Intelligence

S•••• A•••• W•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

S•••• A•••• W•••••••

Advisor at O•••• W•••••• I•••

BROOKFIELD, WI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 15, 2017 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: Sep 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	May 19, 2026	n/a	yes	BROOKFIELD, WI	Current employment
U••••• A••••••• A••••••	Independent wealth	Jun 7, 2024	Dec 16, 2024	no	Mukwonago, WI	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••••• A••••••• A••••••	O•••• W•••••• I•••	Dec 16, 2024	May 19, 2026	519	Firm change after gap	RIA to ibd
F•• P•••••• W••••• M••••••••• I•••	U••••• A••••••• A••••••	May 31, 2024	Jun 7, 2024

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
May 19, 2026 to presentfactForm ADV
→ U••••• A••••••• A••••••Registered adviserregistration: previous registration
Jun 7, 2024 to Dec 16, 2024factForm ADV
→ F•• P•••••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Apr 16, 2020 to May 31, 2024factForm ADV
→ B•••••• L••• A••••••• S•••••••• I•••

Dated events

Order

Occurred
16 Dec 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
31 May 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 15, 2017
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.