DFX Intelligence

P•••••• N••• G•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

P•••••• N••• G•••••••

Advisor at C•••••••• G••••• I••••••••• I•••

HOUSTON, TX

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Search this name across graphsid dfx:ria:0c1999d7-b801-7696-51e0-81ce23b69112

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 31, 1993 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•••••••• G••••• I••••••••• I•••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jul 16, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• G••••• I••••••••• I•••	Mixed wealth	Jan 4, 2013	n/a	yes	HOUSTON, TX	Current employment
C••••••• F•••••••• S••••••••• L••	Former SEC adviser	Aug 19, 2004	Dec 31, 2012	no	SPRINGFIELD, MO\|HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• F•••••••• S••••••••• L••	C•••••••• G••••• I••••••••• I•••	Dec 31, 2012	Jan 4, 2013	4	Firm change	Other
C•••••••• G••••• M•••••• I•••	C••••••• F•••••••• S••••••••• L••	Jun 18, 2004	Aug 19, 2004

Relationships

Registered with (3)

→ C•••••••• G••••• I••••••••• I•••Registered adviserregistration: current employment
Jan 4, 2013 to presentfactForm ADV
→ C••••••• F•••••••• S••••••••• L••Registered adviserregistration: previous registration
Aug 19, 2004 to Dec 31, 2012factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jul 31, 1993 to Jun 18, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0c1999d7-b801-7696-51e0-81ce23b69112
First observed: Jul 31, 1993
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.