DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

C•••••••• C••••• B•••••

Advisor at A••• A••••••• P•••••••

••• Locked

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Search this name across graphsid dfx:ria:0f5ed368-683c-afb8-5302-ee524267c1e7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 26, 1998 to Sep 15, 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: A••• A••••••• P•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 3, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••• A••••••• P•••••••	Bd affiliated wealth	Jul 17, 2026	n/a	yes	Houston, TX\|NEW YORK, NY	Current employment
U••• A•••• M••••••••• L••	Asset manager	Nov 3, 2022	n/a	yes	HOUSTON, TX	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• C•••••• W••••• A•••••••• L••	U••• A•••• M••••••••• L••	Jul 21, 2026	Nov 3, 2022	-1,356	Firm change after gap	Other
U••• R•• L••	U••• C•••••• W••••• A•••••••• L••	Jun 30, 2021	Jun 30, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
288199:137045:TX:2026-07-21	Jul 21, 2026	Nov 3, 2022	AUSTIN, TX	Firm change after gap

Relationships

Registered with (6)

→ A••• A••••••• P•••••••Registered adviserregistration: current employment
Jul 17, 2026 to presentfactForm ADV
→ U••• A•••• M••••••••• L••Registered adviserregistration: current employment
Nov 3, 2022 to presentfactForm ADV
→ U••• C•••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Jun 30, 2021 to Jul 21, 2026factForm ADV
→ U••• R•• L••

Dated events

Occurred
Jul 21, 2026
Advisor changed firm
C•••••••• C••••• B••••• left U••• C•••••• W••••• A•••••••• L•• for U••• A•••• M••••••••• L•• (registered 2022-11-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f5ed368-683c-afb8-5302-ee524267c1e7
First observed: May 26, 1998
Last observed: Sep 15, 2026 7 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.