DFX Intelligence

M•••••• W•••••• A••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)37 years in industry

M•••••• W•••••• A••••••••

Advisor at P•• A•••••••

Houston, TX

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Search this name across graphsid dfx:ria:44184f29-fd48-7494-0832-6b78fdcf8275

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 6, 2002 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: P•• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•• A•••••••	Independent wealth	Apr 1, 2025	n/a	yes	Houston, TX	Current employment
C••• F•••••••• S•••••••• L•••	Former SEC adviser	Oct 1, 2021	Mar 31, 2025	no	The Woodlands, TX\|Houston, TX\|Wadsworth, TX\|Spring, TX\|Houston, TX\|Houston, TX\|SAN DIEGO, CA\|Spring, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• F•••••••• S•••••••• L•••	P•• A•••••••	Mar 31, 2025	Apr 1, 2025	1	Firm change	Ibd to RIA
C••• B•••••••• S•••••••• I•••	C••• F•••••••• S•••••••• L•••	Oct 5, 2021	Oct 1, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
42132:173344:TX:2025-03-31	Mar 31, 2025	Apr 1, 2025	SPRING, TX	Firm change
42132:13941:TX:2019-12-31	Dec 31, 2019	Dec 20, 2019	HOUSTON, TX	Firm change

Relationships

Registered with (3)

→ P•• A•••••••Registered adviserregistration: current employment
Apr 1, 2025 to presentfactForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Oct 1, 2021 to Mar 31, 2025factForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 20, 2019 to Oct 5, 2021factForm ADV

Dated events

Occurred
Mar 31, 2025
Advisor changed firm
M•••••• W•••••• A•••••••• left C••• F•••••••• S•••••••• L••• for P•• A••••••• (registered 2025-04-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:44184f29-fd48-7494-0832-6b78fdcf8275
First observed: Mar 6, 2002
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.