DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor27 years in industry

S•••••• S•••• C•••••

Advisor at A••••••• W••••• M••••••••• L••

DALLAS, 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:230ec4b8-f41e-25bf-201f-ed9b3957cb9a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 2, 2007 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: A••••••• W••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Nov 19, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• W••••• M••••••••• L••	State registered	Aug 18, 2014	n/a	yes	DALLAS, TX	Current employment
M••••••••• I••••••••• S•••••••• I•••	Former SEC adviser	Apr 24, 2013	Jun 3, 2014	no	DALLAS, TX\|NEOSHO, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C• A••••••• S•••••••	M••••••••• I••••••••• S•••••••• I•••	May 12, 2017	Apr 24, 2013	-1,479	Firm change after gap	Other
M••••••••• I••••••••• S•••••••• I•••	A••••••• W••••• M••••••••• L••	Jun 3, 2014	Aug 18, 2014

Relationships

Registered with (5)

→ A••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Aug 18, 2014 to presentfactForm ADV
→ C• A••••••• S•••••••Registered adviserregistration: previous registration
Jan 8, 2013 to May 12, 2017factForm ADV
→ M••••••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 24, 2013 to Jun 3, 2014factForm ADV
→ A••••••• I••••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:230ec4b8-f41e-25bf-201f-ed9b3957cb9a
First observed: Feb 2, 2007
Last observed: Sep 14, 2026 9 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.