DFX Intelligence

D••• A••• B••••••: 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 / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)12 years in industry

D••• A••• B••••••

Advisor at S••••• W••••• A•••••••• I•••

Westlake, 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:28ebec51-01f6-24af-d59f-a1ab275fadf8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 16, 2014 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••••• W••••• A•••••••• I•••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Feb 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• A•••••••• I•••	No RAUM reported	Apr 1, 2022	n/a	yes	Westlake, TX	Current employment
T• A••••••••• I•••	Former SEC adviser	Jan 22, 2022	May 10, 2022	no	WestLake, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	May 10, 2022	Jan 22, 2022	-108	Channel change	Other
T• A••••••••• I•••	S••••• W••••• A•••••••• I•••	May 10, 2022	Apr 1, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
7870:159035:TX:2022-05-09	May 10, 2022	Apr 1, 2022	WESTLAKE, TX	Firm change after gap
7870:111514:TX:2018-04-04	Apr 4, 2018	Jul 14, 2016	WESTLAKE, TX	Firm change after gap

Relationships

Registered with (4)

→ S••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Apr 1, 2022 to presentfactForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 14, 2016 to May 10, 2022factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Jan 22, 2022 to May 10, 2022factForm ADV
→ A••••• A•• P••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:28ebec51-01f6-24af-d59f-a1ab275fadf8
First observed: Jul 16, 2014
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.