DFX Intelligence

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

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

W•••••• T••••• T••••

Advisor at O•••• W•••••• I•••

NEWPORT BEACH, CA | MONTECITO, CA

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Search this name across graphsid dfx:ria:f2ac8680-7c93-408e-228a-80054200ff5c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Oct 1, 2012 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•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	Sep 1, 2023	n/a	yes	MONTECITO, CA\|NEWPORT BEACH, CA	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Jun 7, 2022	Sep 1, 2023	no	NEWPORT BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	O•••• W•••••• I•••	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
P••••• C••••••• L••	S•••••••• F••••••••• I•••	Aug 25, 2021	Jun 7, 2022

Relationships

Registered with (5)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Sep 1, 2023 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Jun 7, 2022 to Sep 1, 2023factForm ADV
→ P••••• C••••••• L••Registered adviserregistration: previous registration
Jan 22, 2019 to Aug 25, 2021factForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f2ac8680-7c93-408e-228a-80054200ff5c
First observed: Oct 1, 2012
Last observed: Sep 15, 2026 7 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.