DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner43 years in industry

S••••• M••••• R•••••••

Advisor at N••• F•••••••• G••••• L•••

TOMBALL, TX

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Search this name across graphsid dfx:ria:2e798938-8760-3075-49f3-4c5224149d5d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2000 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: N••• F•••••••• G••••• L•••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jul 19, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••• F•••••••• G••••• L•••	State registered	Nov 4, 2009	n/a	yes	TOMBALL, TX	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Sep 8, 2009	Dec 31, 2024	no	TOMBALL, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	N••• F•••••••• G••••• L•••	Dec 31, 2024	Nov 4, 2009	-5,536	Firm change after gap	Ibd to state RIA
O•••• F•• I•••	L•• F•••••••• L••	Sep 11, 2009	Sep 8, 2009

Relationships

Registered with (3)

→ N••• F•••••••• G••••• L•••Registered adviserregistration: current employment
Nov 4, 2009 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 8, 2009 to Dec 31, 2024factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Mar 29, 2000 to Sep 11, 2009factForm ADV

Dated events

Occurred
Dec 31, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e798938-8760-3075-49f3-4c5224149d5d
First observed: Mar 29, 2000
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.