D•• C• A•••••••

Advisor at O•••• W•••••• I•••

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:fd30f8c5-1a7a-46de-17f3-0eaddea3afb0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 16, 2004 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: Aug 16, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 10derivedfrom 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	Nov 12, 2015	n/a	yes	SCOTTSDALE, AZ	Current employment
P••••••••• W••••• M••••••••• L••	Former SEC adviser	Jun 13, 2013	Dec 31, 2013	no	SCOTTSDALE, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• W••••• M••••••••• L••	O•••• W•••••• I•••	Dec 31, 2013	Nov 12, 2015	681	Firm change after gap	Other
L•• F•••••••• L••	P••••••••• W••••• M••••••••• L••	May 4, 2010	Jun 13, 2013

Relationships

Registered with (6)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Nov 12, 2015 to presentfactForm ADV
→ P••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jun 13, 2013 to Dec 31, 2013factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 8, 2009 to May 4, 2010factForm ADV
→ A••••••••• S••••••••• C••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd30f8c5-1a7a-46de-17f3-0eaddea3afb0
First observed: Aug 16, 2004
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.