DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

D•••• S•• G•••••••

Advisor at O••••••••• • C•• I•••

HOUSTON, TX | RICHMOND, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 16, 1996 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: O••••••••• • C•• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 8, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• • C•• I•••	Bd affiliated wealth	Mar 20, 2009	n/a	yes	HOUSTON, TX\|RICHMOND, TX	Current employment
S••••••• G•••• C••••••	n/a	Apr 13, 2007	Mar 11, 2009	no	HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• G•••• C••••••	O••••••••• • C•• I•••	Mar 11, 2009	Mar 20, 2009	9	Firm change	Other
W•••• F•••• A•••••••	S••••••• G•••• C••••••	Apr 16, 2007	Apr 13, 2007

Relationships

Registered with (4)

→ O••••••••• • C•• I•••Registered adviserregistration: current employment
Mar 20, 2009 to presentfactForm ADV
→ S••••••• G•••• C••••••Registered adviserregistration: previous registration
Apr 13, 2007 to Mar 11, 2009factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 18, 2005 to Apr 16, 2007factForm ADV
→ P••••••••• E••••• G••••• L••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 16, 1996
Last observed: Sep 14, 2026 10 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.