DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

L••••• S•••••• G••••

Advisor at U•• F•••••••• S••••••• I•••

MCALLEN, TX

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Search this name across graphsid dfx:ria:11513ca8-59db-388b-6108-7e54ac12c158

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 24, 2001 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 23, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Sep 23, 2022	n/a	yes	MCALLEN, TX	Current employment
T•• W••••• M••••••••• L••	Other adviser	Dec 3, 2021	Aug 3, 2022	no	HOUSTON, TX\|MCALLEN, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• W••••• M••••••••• L••	U•• F•••••••• S••••••• I•••	Aug 3, 2022	Sep 23, 2022	51	Firm change	RIA to wirehouse
U•• F•••••••• S••••••• I•••	T•• W••••• M••••••••• L••	Nov 22, 2021	Dec 3, 2021

Relationships

Registered with (5)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Nov 7, 2014 to Nov 22, 2021factForm ADV
→ T•• W••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 3, 2021 to Aug 3, 2022factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to Nov 24, 2014factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

Occurred
Aug 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11513ca8-59db-388b-6108-7e54ac12c158
First observed: Jul 24, 2001
Last observed: Sep 14, 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.