DFX Intelligence

J••• W•••••• O•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)46 years in industry

J••• W•••••• O•••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Sugar Lan, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:085a8f47-8fee-e36a-70b2-b0d0c7ef4c1f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 1, 2000 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 26, 1979earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Jul 20, 2011	n/a	yes	Sugar Lan, TX	Current employment
M••••••• A••••••• G••••	Institutional manager	Apr 29, 2016	Apr 27, 2021	no	HOUSTON, TX\|HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••••• A••••••• G••••	n/a	Apr 27, 2021	n/a	n/a	Departure no registered destination	Departure
S•••••• W••••• S••••••••• L••	M••••••• A••••••• G••••	Apr 21, 2016	Apr 29, 2016	8

Team moves

••• Locked

Team	Left	Joined	From	Kind
170655:283494:TX:2016-04-20	Apr 21, 2016	Apr 29, 2016	HOUSTON, TX	Firm change

Relationships

Registered with (4)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Jul 20, 2011 to presentfactForm ADV
→ M••••••• A••••••• G••••Registered adviserregistration: previous registration
Apr 29, 2016 to Apr 27, 2021factForm ADV
→ S•••••• W••••• S••••••••• L••Registered adviserregistration: previous registration
Sep 15, 2015 to Apr 21, 2016factForm ADV
→ M•• I•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:085a8f47-8fee-e36a-70b2-b0d0c7ef4c1f
First observed: Dec 1, 2000
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.