DFX Intelligence

R•••••• G•••••• D• L• G••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

R•••••• G•••••• D• L• G••••

Advisor at S•••• C••••

THE WOODLANDS, 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:0ea079ab-250b-42cb-eae4-f696bff445fb

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 9, 2013 to Sep 18, 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•••• C••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 11, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• C••••	Independent wealth	Jun 6, 2019	n/a	yes	THE WOODLANDS, TX	Current employment
L•• A••••••• L••	n/a	Apr 9, 2013	May 28, 2020	no	TOMBALL, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• A••••••• L••	S•••• C••••	May 28, 2020	Jun 6, 2019	-357	Firm change after gap	Other

Relationships

Registered with (2)

→ S•••• C••••Registered adviserregistration: current employment
Jun 6, 2019 to presentfactForm ADV
→ L•• A••••••• L••Registered adviserregistration: previous registration
Apr 9, 2013 to May 28, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0ea079ab-250b-42cb-eae4-f696bff445fb
First observed: Apr 9, 2013
Last observed: Sep 18, 2026 5 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.