DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner43 years in industry

T••••••• S••••• E••••

Advisor at U• 1•• W••••• M•••••••••

KINGWOOD, TX | Kingwood, TX

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Search this name across graphsid dfx:ria:28018eeb-2fe2-893c-3399-78b4f5b6052c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 30, 2003 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: U• 1•• W••••• M•••••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Oct 18, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••• A••••••• S••••••• L••	Independent wealth	Apr 28, 2023	n/a	yes	Kingwood, TX	Current employment
U• 1•• W••••• M•••••••••	State registered	Dec 10, 2007	n/a	yes	KINGWOOD, TX	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•••••••• A•••••••• L••	U• 1•• W••••• M•••••••••	Oct 24, 2007	Dec 10, 2007	47	Firm change	Other
C•••• C•••••• S••••••••• L•••	I•••••••• A•••••••• L••	Sep 18, 2007	Sep 7, 2007

Relationships

Registered with (5)

→ O••••••• A••••••• S••••••• L••Registered adviserregistration: current employment
Apr 28, 2023 to presentfactForm ADV
→ U• 1•• W••••• M•••••••••Registered adviserregistration: current employment
Dec 10, 2007 to presentfactForm ADV
→ I•••••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 7, 2007 to Oct 24, 2007factForm ADV
→ C•••• C•••••• S••••••••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:28018eeb-2fe2-893c-3399-78b4f5b6052c
First observed: Apr 30, 2003
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.