DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

R•••••• G• C••••••••

Advisor at S•••••••• W••••• A••••••• L••

HOUSTON, TX | San Antonio, TX

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Search this name across graphsid dfx:ria:2ddb5e12-ed33-8876-26ce-615a9e0ecf0b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 16, 2001 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••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 13, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• W••••• A••••••• L••	Independent wealth	Sep 21, 2023	n/a	yes	HOUSTON, TX\|San Antonio, TX	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Sep 22, 2023	no	San Antonio, TX\|San Antonio, TX\|Houston, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	S•••••••• W••••• A••••••• L••	Sep 22, 2023	Sep 21, 2023	-1	Firm change	Wirehouse to RIA
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (4)

→ S•••••••• W••••• A••••••• L••Registered adviserregistration: current employment
Sep 21, 2023 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Sep 22, 2023factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Sep 30, 2002 to Jun 1, 2009factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

Occurred
Sep 22, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2ddb5e12-ed33-8876-26ce-615a9e0ecf0b
First observed: Feb 16, 2001
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.