DFX Intelligence

A••••• T••••• U••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)38 years in industry

A••••• T••••• U••••••

Advisor at O• I••••••••• M••••••••• C•

Shavano Park, TX | CINCINNATI, OH

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Search this name across graphsid dfx:ria:dc8fc20b-2e4e-cc2b-52bb-0a9ea4f59d14

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 13, 2001 to Sep 15, 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• I••••••••• M••••••••• C•
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 22, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O• I••••••••• M••••••••• C•	Bd affiliated wealth	Jun 25, 2007	n/a	yes	Shavano Park, TX\|CINCINNATI, OH	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Jul 13, 2001	Jun 25, 2007	no	PHOENIX, AZ\|San Antonio, TX\|Scottsdale, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	O• I••••••••• M••••••••• C•	Jun 25, 2007	Jun 25, 2007	0	Firm change	Other

Relationships

Registered with (2)

→ O• I••••••••• M••••••••• C•Registered adviserregistration: current employment
Jun 25, 2007 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 13, 2001 to Jun 25, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc8fc20b-2e4e-cc2b-52bb-0a9ea4f59d14
First observed: Jul 13, 2001
Last observed: Sep 15, 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.