DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

N•••• W••••••• N•••

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

DALLAS, TX

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Search this name across graphsid dfx:ria:496db6ef-7efe-1b53-c428-38819aabf8a4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 2, 1988 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: Nov 29, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Dec 4, 2015	n/a	yes	DALLAS, TX	Current employment
B••••••• C•••••• I•••	Former SEC adviser	Aug 3, 2012	Dec 4, 2015	no	DALLAS, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• C•••••• I•••	S•••••• N••••••• • C••••••• I•••••••••	Dec 4, 2015	Dec 4, 2015	0	Bulk transfer	Other
C••••• S••••• S••••••••• •••• L••	B••••••• C•••••• I•••	Aug 30, 2012	Aug 3, 2012

Relationships

Registered with (4)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Dec 4, 2015 to presentfactForm ADV
→ B••••••• C•••••• I•••Registered adviserregistration: previous registration
Aug 3, 2012 to Dec 4, 2015factForm ADV
→ C••••• S••••• S••••••••• •••• L••Registered adviserregistration: previous registration
Jan 17, 2003 to Aug 30, 2012factForm ADV
→ P••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:496db6ef-7efe-1b53-c428-38819aabf8a4
First observed: Dec 2, 1988
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.