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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

C•••••••• D••• S••••••••

Advisor at S••••••• F••••••••• L••• C••

TOMBALL, TX | HOUSTON, TX

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Search this name across graphsid dfx:ria:174395a1-ab7e-cfe2-8829-85c6e9b3c439

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 21, 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: S••••••• F••••••••• L••• C••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 14, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Feb 22, 2016	n/a	yes	TOMBALL, TX	Current employment
S••••••• F••••••••• L••• C••	Independent wealth	Jul 15, 2014	n/a	yes	TOMBALL, TX\|HOUSTON, TX

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
W• G••••••• S••••••••• I•••	S••••••• F••••••••• L••• C••	Jun 2, 2004	Jul 15, 2014	3,695	Firm change after gap	Other

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Feb 22, 2016 to presentfactForm ADV
→ S••••••• F••••••••• L••• C••Registered adviserregistration: current employment
Jul 15, 2014 to presentfactForm ADV
→ W• G••••••• S••••••••• I•••Registered adviserregistration: previous registration
Aug 21, 1998 to Jun 2, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:174395a1-ab7e-cfe2-8829-85c6e9b3c439
First observed: Aug 21, 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.