DFX Intelligence

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

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RIA / WealthAdvisor44 years in industry

S•••• W••••• H••••••

Advisor at O•• C•••••• A•••••••

DALLAS, TX

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Search this name across graphsid dfx:ria:ef6b2e55-50d1-1eb1-ea9c-76cf76e8428e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2002 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•• C•••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 21, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•• C•••••• A•••••••	Independent wealth	Mar 7, 2012	n/a	yes	DALLAS, TX	Current employment
M•••• H••• C•••••• M•••••••••	n/a	Jul 2, 2003	Jul 1, 2004	no	NORWICH, VT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••• H••• C•••••• M•••••••••	O•• C•••••• A•••••••	Jul 1, 2004	Mar 7, 2012	2,806	Firm change after gap	Other
U•• A•••• M••••••••• ••• I•••	M•••• H••• C•••••• M•••••••••	Mar 4, 2003	Jul 2, 2003

Relationships

Registered with (3)

→ O•• C•••••• A•••••••Registered adviserregistration: current employment
Mar 7, 2012 to presentfactForm ADV
→ M•••• H••• C•••••• M•••••••••Registered adviserregistration: previous registration
Jul 2, 2003 to Jul 1, 2004factForm ADV
→ U•• A•••• M••••••••• ••• I•••Registered adviserregistration: previous registration
Jul 30, 2002 to Mar 4, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ef6b2e55-50d1-1eb1-ea9c-76cf76e8428e
First observed: Jul 30, 2002
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.