DFX Intelligence

D••••• B•••• A••••: 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 / WealthAdvisordual registered (broker-dealer)42 years in industry

D••••• B•••• A••••

Advisor at M••••••• I••••••••• N•••••• I•••

Katy, TX | DALLAS, 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:3346f929-4133-bda0-9836-6114eab1608e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 29, 1998 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: M••••••• I••••••••• N•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 26, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••••• I••••••••• N•••••• I•••	Bd affiliated wealth	Nov 16, 2017	n/a	yes	DALLAS, TX\|Katy, TX	Current employment
W••••••• W••••• A•••••••• I•••	I•••••••••_WEALTH	Jan 14, 2010	Jan 2, 2018	no	KATY, TX\|KATY, TX\|KATY, TX\|KATY, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• W••••• A•••••••• I•••	M••••••• I••••••••• N•••••• I•••	Jan 2, 2018	Nov 16, 2017	-47	Firm change after gap	Other
R•• C•••••• M••••••• L••	W••••••• W••••• A•••••••• I•••	Nov 12, 2009	Jan 14, 2010

Relationships

Registered with (4)

→ M••••••• I••••••••• N•••••• I•••Registered adviserregistration: current employment
Nov 16, 2017 to presentfactForm ADV
→ W••••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 14, 2010 to Jan 2, 2018factForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Oct 21, 2005 to Nov 12, 2009factForm ADV
→ R•••••• J•••• • A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3346f929-4133-bda0-9836-6114eab1608e
First observed: Jan 29, 1998
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.