DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

C•••• R••••• D•••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

DALLAS, TX

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Search this name across graphsid dfx:ria:40f7caf8-d14d-9ad9-a990-02c89b07a551

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 15, 1987 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 11, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Jan 6, 2021	n/a	yes	DALLAS, TX	Current employment
L••••••• A•••• M••••••••• L••	Asset manager	Apr 23, 2010	Jan 21, 2021	no	DALLAS, TX\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••••• A•••• M••••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Jan 21, 2021	Jan 6, 2021	-15	Firm change	RIA to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L••••••• A•••• M••••••••• L••	Apr 28, 2010	Apr 23, 2010

Relationships

Registered with (5)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Jan 6, 2021 to presentfactForm ADV
→ L••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Apr 23, 2010 to Jan 21, 2021factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 27, 2004 to Apr 28, 2010factForm ADV
→ C••••• S••••• S••••••••• •••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40f7caf8-d14d-9ad9-a990-02c89b07a551
First observed: Dec 15, 1987
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.