DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

S••• T•••••• M•••••••

Advisor at O•••• W•••••• I•••

SCOTTSDALE, AZ

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 26, 2003 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: Jun 26, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Aug 2, 2023	n/a	yes	SCOTTSDALE, AZ	Current employment
L•••••••• T••••••• A•••• M••••••••• I••	Other adviser	Jun 2, 2023	Jun 5, 2023	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	O•••• W•••••• I•••	Sep 1, 2023	Aug 2, 2023	-30	Bulk transfer	Ibd to ibd
L•••••••• T••••••• A•••• M••••••••• I••	O•••• W•••••• I•••	Jun 5, 2023	Aug 2, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
108604:23131:NY:2023-06-05	Jun 5, 2023	Aug 2, 2023	NEW YORK, NY	Channel change

Relationships

Registered with (5)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Aug 2, 2023 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
May 5, 2014 to Sep 1, 2023factForm ADV
→ L•••••••• T••••••• A•••• M••••••••• I••Registered adviserregistration: previous registration
Jun 2, 2023 to Jun 5, 2023factForm ADV
→ S••••• W••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 26, 2003
Last observed: Sep 14, 2026 10 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.