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

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

R•••• L•• S••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Austin, TX

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Search this name across graphsid dfx:ria:49354e11-925c-ea4d-cd52-a82654915617

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 27, 1994 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 16, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 16derivedfrom 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
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 5, 2009	n/a	yes	Austin, TX\|Austin, TX	Current employment
C•••••• L••	Independent wealth	Oct 17, 2002	Jul 10, 2003	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
A••••••••• A•••••• S•••••••• I•••	C•••••• L••	Oct 5, 2009	Oct 17, 2002	-2,545	Firm change after gap	Other
C•••••• L••	A••••••••• F•••••••• S•••••••• L••	Jul 10, 2003

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 5, 2009 to presentfactForm ADV
→ A••••••••• A•••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 27, 1994 to Oct 5, 2009factForm ADV
→ C•••••• L••Registered adviserregistration: previous registration
Oct 17, 2002 to Jul 10, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49354e11-925c-ea4d-cd52-a82654915617
First observed: Apr 27, 1994
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.