DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

S••• D••••• S••••••••

Advisor at C•••••• S••••• • C••• I•••

Westlake, TX

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Search this name across graphsid dfx:ria:349a04d4-f3fb-900a-ac2b-f1eaf737f4ae

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 9, 2024 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Oct 13, 2025	n/a	yes	Westlake, TX	Current employment
L•• E••••••••• L••	Bd affiliated wealth	Nov 15, 2024	Sep 30, 2025	no	NAPLES, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• E••••••••• L••	C•••••• S••••• • C••• I•••	Sep 30, 2025	Oct 13, 2025	13	Firm change	Ibd to ibd
P•••• S••••••••• L••	L•• E••••••••• L••	Nov 12, 2024	Nov 15, 2024

Relationships

Registered with (3)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Oct 13, 2025 to presentfactForm ADV
→ L•• E••••••••• L••Registered adviserregistration: previous registration
Nov 15, 2024 to Sep 30, 2025factForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Jul 9, 2024 to Nov 12, 2024factForm ADV

Dated events

Occurred
Sep 30, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:349a04d4-f3fb-900a-ac2b-f1eaf737f4ae
First observed: Jul 9, 2024
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.