DFX Intelligence

C••••••••• D•••••• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

C••••••••• D•••••• T•••••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Lubbock, TX

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Search this name across graphsid dfx:ria:0c4f40a0-5e3b-c06c-6f66-c5214f82670c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 2, 2017 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Jun 29, 2021	n/a	yes	Lubbock, TX	Current employment
N••••••••• A•••• M••••••••• L••	Independent wealth	Nov 27, 2018	Aug 3, 2020	no	Aliso Viejo, CA\|STAMFORD, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••••• A•••• M••••••••• L••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Aug 3, 2020	Jun 29, 2021	330	Firm change	RIA to ibd
A••• C••••••• I•••	N••••••••• A•••• M••••••••• L••	Nov 5, 2018	Nov 27, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
108517:282241:TX:2018-11-05	Nov 5, 2018	Nov 27, 2018	AUSTIN, TX	Firm change

Relationships

Registered with (3)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Jun 29, 2021 to presentfactForm ADV
→ N••••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Nov 27, 2018 to Aug 3, 2020factForm ADV
→ A••• C••••••• I•••Registered adviserregistration: previous registration
Oct 2, 2017 to Nov 5, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0c4f40a0-5e3b-c06c-6f66-c5214f82670c
First observed: Oct 2, 2017
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.