DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

D•••• A••••• W•••

Advisor at O••••••••• S••••••••• I•••

Raleigh, NC | INDIANAPOLIS, IN

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Search this name across graphsid dfx:ria:ff356c5a-7784-cdf1-1f61-6100d1a28406

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 14, 2011 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••••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 29, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• S••••••••• I•••	Bd affiliated wealth	May 19, 2026	n/a	yes	Raleigh, NC\|INDIANAPOLIS, IN	Current employment
W•••• F•••• A•••••••	Wirehouse	Jul 14, 2016	Jun 20, 2024	no	WAKE FOREST, NC\|RALEIGH, NC\|RALEIGH, NC\|RALEIGH, NC\|RALEIGH, NC\|RALEIGH, NC\|RALEIGH, NC\|RALEIGH, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	O••••••••• S••••••••• I•••	Jun 20, 2024	May 19, 2026	698	Firm change after gap	Wirehouse to ibd
L•• F•••••••• L••	W•••• F•••• A•••••••	Aug 5, 2016	Jul 14, 2016

Relationships

Registered with (4)

→ O••••••••• S••••••••• I•••Registered adviserregistration: current employment
May 19, 2026 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 14, 2016 to Jun 20, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 19, 2013 to Aug 5, 2016factForm ADV
→ M••••• S••••••

Dated events

Occurred
Jun 20, 2024
Advisor changed firm
D•••• A••••• W••• left W•••• F•••• A••••••• for O••••••••• S••••••••• I••• (registered 2026-05-19)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ff356c5a-7784-cdf1-1f61-6100d1a28406
First observed: Sep 14, 2011
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.