IO
Isaac J. Ortiz
DAI WEALTH
Edmond, OK 73034
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CRD#: 4637864
IO
Professional summary
Isaac J Ortiz, CFP®, who also goes by Isaac J Ortiz, is a registered financial advisor currently at DAI WEALTH, LLC located in Edmond, Oklahoma and DAI SECURITIES, LLC located in Edmond, Oklahoma.
Isaac is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Isaac has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Isaac J Ortiz
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Creative Financial Strategies LLC (CFS) - Ins solutions Business - practices the placement of Risk Management Strategies through CFS - CFS is licensed Agency in NM - RR engages in both basic & advanced Estate & Business Planning strategies which require illustration & implementation of Risk Management solutions - RR is independent & holds no corporate affiliation for any ins company - RR is licensed with many ins companies for the Design & implementation of basic & advanced ins company solutions - may include Term ins, ROP term ins, UL Ins, GUL Ins, Joint & Survivor Ins, VUL ins, whole life ins, fixed annuities, variable annuities & EIA - These solutions are used based on the individual client circumstance - RR is paid either an annual or a front loaded single commission, compensation depends on the product structure - Should a conflict of interest arise, full disclosure is offered by the RR so the client may make informed decision for the implementation of these solutions; Creative Financial Strategies LLC (CFS) - IAR - FA discloses that through CFS he has Investment Advisory business - This is through Corporate RIA, SCF Investment Advisors, Inc - This business does not infer that FA or CFS is a custodian - This is often done in conjunction with comprehensive planning - This business is wholly fee based & includes the analysis of portfolios & the review of client objectives - also includes the analysis of non-custodian accounts - The philosophical understanding as well as insuring that a shared view on active or passive investment management is imperative to this relationship - The FA is a Fiduciary in this capacity & will disclose any conflict of interest that may arise out of the other areas of business that they may be supporting the client in; Creative Financial Strategies LLC (CFS) - Fee Based Financial Planning - engages in modular & comprehensive Financial Planning, as well as Business planning consultation, This is done through CFSLLC, as part of the Affiliation with the RIA SCF Investment Advisors Inc - This business is complex in nature, is always the FEE model, with the fee determined by complexity & Net worth in tandem - The nature of the planning, either Personal or Business dictates what the fee will be as well as the billing of said fees - It is expected that for comprehensive planning, billing will occur with 50% of the fee at Planner engagement & the remaining 50% due at delivery of the written document - Planning relationship is an engagement of 12 months - In the case of advanced personal & business planning the fee will in all cases be disclosed & agreed upon in advance of work being done - All financial plans created in the Firm (CFS) will be reviewed by the CFP� certificant in the office to affirm that the CFP board of Standards are being adhered to - In conjunction, the planner will never provide product specific solutions or strategies within the context of a plan - Conflicts of interest will always be disclosed & the Planner always operates in capacity of a fiduciary for the advice given - business consultation is traditionally done after a comprehensive planning relationship has been engaged & effective starting in year two of the professional relationship - The fee model & meeting expectations can be amended from time to time, Client will acknowledge this communication via a signed acknowledgment prior to engagement with the Planner for Planner services; SCF Investment Advisors - investment advisor rep; BRICKS & BLOCKS GALAXY LLC - 6301 INDIAN SCHOOL RD NE STE 609, ALBUQUERQUE NM 87110 - NON INVESTMENT RELATED - PROPRIETOR - START 02/2021 - COLLECTIBLE TOYS PICKED UP BY THIRD PARTY, SOLD ONLINE THROUGH AMAZON/WALMART/TARGET;
CRS (Client Relationship Summary) - RIA
Click below to view Isaac J Ortiz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2010
Experience
Current
December 19, 2022 - Present
DAI WEALTH, LLC
Office #1: 209 Lilac Dr Suite 240, Edmond, OK 73034RIA
CRD#: 138938
Edmond, OK
Current
December 19, 2022 - Present
DAI SECURITIES, LLC
Office #1: 209 Lilac Drive Suite 240, Edmond, OK 73034Office #2: 6301 Indian School Rd Ne Suite 609, Albuquerque, NM 87110BD
CRD#: 36673
Edmond, OK
Past
December 19, 2016 - December 22, 2022
SCF INVESTMENT ADVISORS, INC.
RIA
CRD#: 123608
ALBUQUERQUE, NM
Past
December 19, 2016 - December 22, 2022
SCF SECURITIES, INC.
BD
CRD#: 47275
ALBUQUERQUE, NM
Past
January 4, 2012 - December 22, 2016
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ALBUQUERQUE, NM
Past
December 22, 2011 - December 22, 2016
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ALBUQUERQUE, NM
Past
March 6, 2006 - December 23, 2011
NEW ENGLAND SECURITIES
RIA
CRD#: 615
ALBUQUERQUE, NM
Past
March 25, 2003 - December 23, 2011
NEW ENGLAND SECURITIES
BD
CRD#: 615
ALBUQUERQUE, NM
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DW
DAI WEALTH, LLC
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | MICHALETZ ADVISORS, INC. | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.
CRD#: 138938 / SEC#: 801-66260
RIA
Registered Investment Advisory firm - (2/24/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/19/2022)
IAR
Arizona(12/20/2022)
RR
Colorado(12/19/2022)
IAR
Colorado(5/29/2025)
RR
Florida(6/24/2025)
RR
Missouri(12/19/2022)
RR
New Mexico(12/19/2022)
IAR
New Mexico(12/19/2022)
RR
Oklahoma(12/19/2022)
IAR
Oklahoma(12/19/2022)
RR
Texas(12/19/2022)
IAR
Texas(12/19/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DW
DAI WEALTH, LLC
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | MICHALETZ ADVISORS, INC. | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.
CRD#: 138938 / SEC#: 801-66260
RIA
Registered Investment Advisory firm - (2/24/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Mailing Address
Phone number
(404) 531-7080
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,821 |
| AUM (Assets Under Management) | $ 267,417,235 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DAI WEALTH, LLC
CRD#: 138938Edmond, OK 73034TRUST BUT VERIFY
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