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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

S••••• D•••• S••••

Advisor at L•••••••• A•••• M••••••••• I•••

Texas City, TX | FRIENDSWOOD, 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:32e13572-1695-5c1a-381d-d7e94bef3d99

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 27, 2009 to Sep 15, 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: L•••••••• A•••• M••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 21, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•••••••• A•••• M••••••••• I•••	Independent wealth	Jun 25, 2018	n/a	yes	Texas City, TX\|FRIENDSWOOD, TX	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Nov 12, 2020	Nov 17, 2022	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	n/a	Nov 17, 2022	n/a	n/a	Departure no registered destination	Departure
F•••• A••••• A••••••• S•••••••• I•••	L•••••••• A•••• M••••••••• I•••	Nov 12, 2020	Jun 25, 2018

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
137888:157450:TX:2020-11-12	Nov 12, 2020	Jun 25, 2018	TEXAS CITY, TX	Firm change after gap

Relationships

Registered with (3)

→ L•••••••• A•••• M••••••••• I•••Registered adviserregistration: current employment
Jun 25, 2018 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Nov 12, 2020 to Nov 17, 2022factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 27, 2009 to Nov 12, 2020factForm ADV

Dated events

Occurred
Nov 17, 2022
Advisor departed, no destination yet
S••••• D•••• S•••• no longer registered at C••••• I••••••••• A••••••• L••; no later IA registration on IAPD
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:32e13572-1695-5c1a-381d-d7e94bef3d99
First observed: Apr 27, 2009
Last observed: Sep 15, 2026 7 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.