DFX Intelligence

M••••••• L••• E•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)31 years in industry

M••••••• L••• E•••••

Advisor at S••••• W••••• A•••••••• I•••

Boerne, TX

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Search this name across graphsid dfx:ria:05fc46bc-21ca-7428-0c42-7e36c1381372

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 17, 1999 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: S••••• W••••• A•••••••• I•••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Jun 21, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom 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
S••••• W••••• A•••••••• I•••	No RAUM reported	Dec 15, 2025	n/a	yes	Boerne, TX	Current employment
U••• F•••••••• P••••••• S•••••••	Former SEC adviser	Jun 19, 2014	Mar 17, 2017	no	SAN ANTONIO, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• F•••••••• P••••••• S•••••••	S••••• W••••• A•••••••• I•••	Mar 17, 2017	Dec 15, 2025	3,195	Firm change after gap	Other
U••• I••••••••• S••••••• C••••••	U••• F•••••••• P••••••• S•••••••	Jun 20, 2014	Jun 19, 2014

Relationships

Registered with (3)

→ S••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Dec 15, 2025 to presentfactForm ADV
→ U••• F•••••••• P••••••• S•••••••Registered adviserregistration: previous registration
Jun 19, 2014 to Mar 17, 2017factForm ADV
→ U••• I••••••••• S••••••• C••••••Registered adviserregistration: previous registration
Jan 15, 2014 to Jun 20, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:05fc46bc-21ca-7428-0c42-7e36c1381372
First observed: May 17, 1999
Last observed: Sep 14, 2026 9 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.