DFX Intelligence

S•• B••••••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor41 years in industry

S•• B••••••• G••••

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

HOUSTON, TX

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Search this name across graphsid dfx:ria:536c10b6-a2ba-150e-ca01-71264ae2a2bd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 10, 2005 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•••••••• A••••••• S•••••••• L•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 23derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• S•••••••• L•••••	Independent wealth	Jan 10, 2003	n/a	yes	HOUSTON, TX	Current employment
I••••• F•••••••• C•••••••••	Former SEC adviser	Nov 10, 2005	Sep 9, 2014	no	HOUSTON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••• F•••••••• C•••••••••	n/a	Sep 9, 2014	n/a	n/a	Departure no registered destination	Departure

Relationships

Registered with (2)

→ S•••••••• A••••••• S•••••••• L•••••Registered adviserregistration: current employment
Jan 10, 2003 to presentfactForm ADV
→ I••••• F•••••••• C•••••••••Registered adviserregistration: previous registration
Nov 10, 2005 to Sep 9, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:536c10b6-a2ba-150e-ca01-71264ae2a2bd
First observed: Nov 10, 2005
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.