DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

P••• A•••••••• D••••

Advisor at S•••••••• W••••• A••••••• L••

HOUSTON, TX

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Search this name across graphsid dfx:ria:093bbc81-bdea-0e65-a872-65ae9708eba2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 2, 2002 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••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 5, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• W••••• A••••••• L••	Independent wealth	Jan 17, 2020	n/a	yes	HOUSTON, TX	Current employment
S•••••••• W••••• A••••••• L••	Independent wealth	Jun 29, 2015	Dec 31, 2019	no	HOUSTON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• M••••••••• I••••••••• C•••••••••	S•••••••• W••••• A••••••• L••	Oct 22, 2007	Jun 29, 2015	2,807	Firm change after gap	Other
B••• O• A•••••• I••••••••• S•••••••• I•••	F•••• M••••••••• I••••••••• C•••••••••	Nov 24, 2004

Relationships

Registered with (4)

→ S•••••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Jun 29, 2015 to Dec 31, 2019factForm ADV
→ F•••• M••••••••• I••••••••• C•••••••••Registered adviserregistration: previous registration
Apr 1, 2005 to Oct 22, 2007factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 20, 2004 to Nov 24, 2004factForm ADV
→ Q•••• • R•••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:093bbc81-bdea-0e65-a872-65ae9708eba2
First observed: Dec 2, 2002
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.