DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

A•••• R•••• M••••••••

Advisor at S•• I••••••••• M••••••••• C•••

Houston, TX | OAKS, PA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 22, 2013 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•• I••••••••• M••••••••• C•••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Feb 28, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• I••••••••• M••••••••• C•••	Mixed wealth	Mar 29, 2023	n/a	yes	OAKS, PA\|Houston, TX	Current employment
H•••••••• P•••••• C•••••	Former SEC adviser	Aug 11, 2017	Jul 26, 2018	no	HOUSTON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• C•••••• A•••••••• L••	H•••••••• P•••••• C•••••	Nov 18, 2022	Aug 11, 2017	-1,925	Firm change after gap	Other
H•••••••• P•••••• C•••••	S•• I••••••••• M••••••••• C•••	Jul 26, 2018	Mar 29, 2023

Relationships

Registered with (3)

→ S•• I••••••••• M••••••••• C•••Registered adviserregistration: current employment
Mar 29, 2023 to presentfactForm ADV
→ S•••••• C•••••• A•••••••• L••Registered adviserregistration: previous registration
Oct 22, 2013 to Nov 18, 2022factForm ADV
→ H•••••••• P•••••• C•••••Registered adviserregistration: previous registration
Aug 11, 2017 to Jul 26, 2018factForm ADV

Dated events

Order

Occurred
18 Nov 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 22, 2013
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.