DFX Intelligence

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

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RIA / WealthAdvisor39 years in industry

R••••• S••••••• P•••••

Advisor at P•• S••••••• C•••••• M••••••••• L••

AUSTIN, TX

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Search this name across graphsid dfx:ria:3097bb24-0c55-f7d2-67ea-546f152ad7d5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 27, 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: P•• S••••••• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 25, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•• S••••••• C•••••• M••••••••• L••	Independent wealth	Nov 24, 2009	n/a	yes	AUSTIN, TX	Current employment
C••••• A••••••• G••••• I•••	Former SEC adviser	Oct 29, 2009	Dec 31, 2010	no	AUSTIN, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• A••••••• G••••• I•••	P•• S••••••• C•••••• M••••••••• L••	Dec 31, 2010	Nov 24, 2009	-402	Firm change after gap	Other
C••• C•••••• M••••••••• L••	C••••• A••••••• G••••• I•••	Sep 30, 2009	Oct 29, 2009

Relationships

Registered with (5)

→ P•• S••••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Nov 24, 2009 to presentfactForm ADV
→ C••••• A••••••• G••••• I•••Registered adviserregistration: previous registration
Oct 29, 2009 to Dec 31, 2010factForm ADV
→ C••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 28, 2007 to Sep 30, 2009factForm ADV
→ C••••• I••••••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3097bb24-0c55-f7d2-67ea-546f152ad7d5
First observed: Aug 27, 2003
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.