DFX Intelligence

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

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

D••••• C•••••• A•••••••

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

••• Locked

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Search this name across graphsid dfx:ria:161852ac-8589-62f5-5727-5c7a6dc7a1bb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 18, 2001 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Nov 28, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Apr 17, 2014	n/a	yes	Orange Beach, AL\|HOUSTON, TX\|HOUSTON, TX\|Spring, TX	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Aug 26, 2005	Mar 26, 2014	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	U•• F•••••••• S••••••• I•••	Mar 26, 2014	Apr 17, 2014	22	Firm change	Other
W•••••••• A•••• M••••••••• I••	L•• F•••••••• L••	Aug 10, 2005	Aug 26, 2005

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Apr 17, 2014 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 26, 2005 to Mar 26, 2014factForm ADV
→ W•••••••• A•••• M••••••••• I••Registered adviserregistration: previous registration
Jul 18, 2001 to Aug 10, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:161852ac-8589-62f5-5727-5c7a6dc7a1bb
First observed: Jul 18, 2001
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.