DFX Intelligence

C••••• T••••• R•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

C••••• T••••• R•••••••

Advisor at O•••• W•••••• I•••

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:d524413c-f40f-2ca6-4f63-25e94e64fa9a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 10, 2016 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: Dec 1, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Nov 17, 2020	n/a	yes	SCOTTSDALE, AZ	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Nov 17, 2020	Sep 1, 2023	no	Seattle, WA\|SCOTTSDALE, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	O•••• W•••••• I•••	Jan 19, 2024	Nov 17, 2020	-1,158	Bulk transfer	Ibd to ibd
F•• S••••••••• C•••••••••	W••••••• F•••••••• S•••••••• I•••	Nov 3, 2023	Nov 17, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
7461:421:GA:2023-11-03	Nov 3, 2023	Nov 17, 2020	ATLANTA, GA	Firm change after gap
133763:7461:AZ:2023-09-01	Sep 1, 2023	Nov 17, 2020	SCOTTSDALE, AZ	Firm change after gap

Relationships

Registered with (7)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 17, 2020 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Nov 17, 2020 to Jan 19, 2024factForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Nov 17, 2020 to Nov 3, 2023factForm ADV
→ S•••••••• F••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d524413c-f40f-2ca6-4f63-25e94e64fa9a
First observed: Mar 10, 2016
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.