DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

B•••• T••••• S••••••

Advisor at C••••• I••••••••• A••••••• L••

••• Locked

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 21, 2002 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 22, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	CARROLLTON, TX\|DALLAS, TX	Current employment
A•••••• P••••••• P•••••••• I•••	Bd affiliated wealth	Mar 18, 2021	n/a	yes	DUBUQUE, IA\|DALLAS, TX\|CARROLLTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	A•••••• P••••••• P•••••••• I•••	Sep 5, 2025	Mar 18, 2021	-1,632	Channel change	Ibd to RIA
S•••••••• A••••••• L••	F••••••• P••••••• T•••• C••••••• F••	Jul 9, 2014	Apr 26, 2005

Team moves

••• Locked

Team	Left	Joined	From	Kind
104556:106237:TX:2025-09-05	Sep 5, 2025	Mar 18, 2021	CARROLLTON, TX	Firm change after gap

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• P••••••• P•••••••• I•••Registered adviserregistration: current employment
Mar 18, 2021 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Apr 8, 2015 to Sep 5, 2025factForm ADV
→ S•••••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 21, 2002
Last observed: Sep 15, 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.