DFX Intelligence

S•••••• H•••••• E••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

S•••••• H•••••• E••••••••

Advisor at R•• C•••••• M••••••• L••

PEARLAND, TX | HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 7, 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 3, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Jan 8, 2026	n/a	yes	PEARLAND, TX\|HOUSTON, TX	Current employment
R••••• W• B•••• • C•• I•••••••••	Mixed wealth	May 12, 2006	Jan 20, 2026	no	HOUSTON, TX\|Houston, TX\|Houston - Memorial City, TX\|Pearland, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••••• W• B•••• • C•• I•••••••••	R•• C•••••• M••••••• L••	Jan 20, 2026	Jan 8, 2026	-12	Firm change	RIA to ibd
C•••••••• G••••• M•••••• I•••	R••••• W• B•••• • C•• I•••••••••	May 22, 2006	May 12, 2006

Team moves

••• Locked

Team	Left	Joined	From	Kind
8158:31194:TX:2026-01-20	Jan 20, 2026	Jan 8, 2026	PEARLAND, TX	Firm change

Relationships

Registered with (4)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Jan 8, 2026 to presentfactForm ADV
→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: previous registration
May 12, 2006 to Jan 20, 2026factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Feb 21, 2006 to May 22, 2006factForm ADV
→ L••• M•••• W••• W•••••• I•••••••••

Dated events

Order

Occurred
20 Jan 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 7, 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.