DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

P•••••••• C•••••• A••••••••

Advisor at C••••••••• F•••••••• N••••••

Dallas, TX

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Search this name across graphsid dfx:ria:11477006-85ca-09da-1a6a-d120a05ed330

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 13, 2005 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••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 11, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Dec 5, 2016	n/a	yes	Dallas, TX	Current employment
W•• A•••••••• L•	Former SEC adviser	Jan 13, 2012	Nov 7, 2016	no	DALLAS, TX\|DALLAS, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•• A•••••••• L•	C••••••••• F•••••••• N••••••	Nov 7, 2016	Dec 5, 2016	28	Firm change	Other
E•••••••• A•••••••• L••	W•• A•••••••• L•	Jan 27, 2012	Jan 13, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
125073:8032:TX:2016-11-07	Nov 7, 2016	Dec 5, 2016	DALLAS, TX	Firm change

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Dec 5, 2016 to presentfactForm ADV
→ W•• A•••••••• L•Registered adviserregistration: previous registration
Jan 13, 2012 to Nov 7, 2016factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jun 13, 2005 to Jan 27, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11477006-85ca-09da-1a6a-d120a05ed330
First observed: Jun 13, 2005
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.