DFX Intelligence

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

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

C•••• T••••• V•••••••••

Advisor at U•• F•••••••• S••••••• I•••

BEAUMONT, TX | HOUSTON, TX

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Search this name across graphsid dfx:ria:28ad4bff-2cc0-8cae-f937-3ea2c776231e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 16, 1999 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•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Apr 23, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Dec 8, 2006	n/a	yes	BEAUMONT, TX\|HOUSTON, TX	Current employment
M••••• S•••••• D• I•••	n/a	Dec 13, 2002	Nov 15, 2006	no	CHICAGO, IL\|ADDISON, TX\|PURCHASE, NY\|ADDISON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S•••••• D• I•••	U•• F•••••••• S••••••• I•••	Nov 15, 2006	Dec 8, 2006	23	Firm change	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M••••• S•••••• D• I•••	Dec 17, 2002	Dec 13, 2002

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Dec 8, 2006 to presentfactForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
Dec 13, 2002 to Nov 15, 2006factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 16, 1999 to Dec 17, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:28ad4bff-2cc0-8cae-f937-3ea2c776231e
First observed: Nov 16, 1999
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.