DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

C••••••••• S•••• R•••••

Advisor at C•••••• A•••••••

Canton, GA | THE WOODLANDS, TX

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 21, 2004 to Sep 15, 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: C•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 22, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• A•••••••	Bd affiliated wealth	Dec 5, 2012	n/a	yes	THE WOODLANDS, TX	Current employment
L•••••• I•••••••••	Independent wealth	Jun 1, 2012	n/a	yes	Canton, GA\|THE WOODLANDS, TX	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• A•••••••• I••	L•••••• I•••••••••	Jun 1, 2012	Jun 1, 2012	0	Bulk transfer	Other
S•••••• M••••• L••	C••••••••• A•••••••• I••	Jan 30, 2012	Jan 27, 2012

Relationships

Registered with (6)

→ C•••••• A•••••••Registered adviserregistration: current employment
Dec 5, 2012 to presentfactForm ADV
→ L•••••• I•••••••••Registered adviserregistration: current employment
Jun 1, 2012 to presentfactForm ADV
→ C••••••••• A•••••••• I••Registered adviserregistration: previous registration
Jan 27, 2012 to Jun 1, 2012factForm ADV
→ S•••••• M••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 21, 2004
Last observed: Sep 15, 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.