DFX Intelligence

R••••• P••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

R••••• P••• B••••

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

Houston, TX

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Search this name across graphsid dfx:ria:17a836eb-dcda-dde7-62b8-ed61f69aebe9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2002 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: S•••••••• F•••••••• C•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 28, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• F•••••••• C•••••••• L••	Independent wealth	Mar 23, 2018	n/a	yes	Houston, TX	Current employment
A•••••••• A•••••••• L••	Former SEC adviser	Nov 30, 2010	Mar 1, 2012	no	HOUSTON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••••• A•••••••• L••	S•••••••• F•••••••• C•••••••• L••	Mar 1, 2012	Mar 23, 2018	2,213	Firm change after gap	Other
I•••••• A•••••••• I•••	A•••••••• A•••••••• L••	Nov 22, 2010	Nov 30, 2010

Relationships

Registered with (4)

→ S•••••••• F•••••••• C•••••••• L••Registered adviserregistration: current employment
Mar 23, 2018 to presentfactForm ADV
→ A•••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 30, 2010 to Mar 1, 2012factForm ADV
→ I•••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 1, 2010 to Nov 22, 2010factForm ADV
→ I•••••• A•• P•••••• A•••• M••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17a836eb-dcda-dde7-62b8-ed61f69aebe9
First observed: Jul 30, 2002
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.