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E••••• G••••• D•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

E••••• G••••• D•••••••••

Advisor at C••••• I••••••••• A••••••• L••

AUSTIN, TX | Lakeway, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1b69289c-d79d-c329-392f-5ddd67768125

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 23, 2008 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 10, 2023	n/a	yes	AUSTIN, TX\|AUSTIN, TX\|Lakeway, TX	Current employment
C•• S••••••••• L••	Former SEC adviser	Aug 7, 2009	Oct 28, 2021	no

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
S••••••• F•••••••• S•••••••• I•••	C•• S••••••••• L••	Aug 10, 2023	Aug 7, 2009	-5,116	Firm change after gap	Other
C•• S••••••••• L••	C••••• I••••••••• A••••••• L••	Oct 28, 2021

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
15296:22589:MN:2023-08-10	Aug 10, 2023	Aug 7, 2009	ST PAUL, MN	Firm change after gap
22589:105644:TX:2021-10-18	Oct 28, 2021	Aug 10, 2023	AUSTIN, TX	Firm change after gap

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 23, 2008 to Aug 10, 2023factForm ADV
→ C•• S••••••••• L••Registered adviserregistration: previous registration
Aug 7, 2009 to Oct 28, 2021factForm ADV

Dated events

Occurred
Aug 10, 2023
Advisor changed firm
E••••• G••••• D••••••••• left S••••••• F•••••••• S•••••••• I••• for C•• S••••••••• L•• (registered 2009-08-07)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1b69289c-d79d-c329-392f-5ddd67768125
First observed: Jul 23, 2008
Last observed: Sep 14, 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.