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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

R••••••• S•••••••••

Advisor at S•••••• S•••••••••

Houston, TX | HOUSTON, TX

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Search this name across graphsid dfx:ria:3e1adc1c-410f-ae3f-e300-45db563a1edf

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 6, 2018 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: S•••••• S•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 7derivedfrom 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
S•••••• S•••••••••	Bd affiliated wealth	Oct 3, 2018	n/a	yes	HOUSTON, TX\|Houston, TX\|HOUSTON, TX	Current employment
L••••• C••••••• L••	Mixed wealth	Jun 6, 2018	Oct 29, 2018	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
L••••• C••••••• L••	S•••••• S•••••••••	Oct 29, 2018	Oct 3, 2018	-26	Firm change	RIA to RIA

Relationships

Registered with (2)

→ S•••••• S•••••••••Registered adviserregistration: current employment
Oct 3, 2018 to presentfactForm ADV
→ L••••• C••••••• L••Registered adviserregistration: previous registration
Jun 6, 2018 to Oct 29, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e1adc1c-410f-ae3f-e300-45db563a1edf
First observed: Jun 6, 2018
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.