DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

E••• S•••• K•••••

Advisor at S•••••• M••••• L••

HOUSTON, TX

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Search this name across graphsid dfx:ria:54d17f49-eb0c-18ac-f56e-4b368504f19a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 9, 2007 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•••••• M••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 31, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• M••••• L••	Independent wealth	May 9, 2017	n/a	yes	HOUSTON, TX\|HOUSTON, TX	Current employment
B• R•••• W••••• M•••••••••	Former SEC adviser	Dec 14, 2012	May 8, 2017	no	Houston, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B• R•••• W••••• M•••••••••	S•••••• M••••• L••	May 8, 2017	May 9, 2017	1	Firm change	Other
S•••••• M••••• L••	B• R•••• W••••• M•••••••••	Dec 17, 2012	Dec 14, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
2543:20580:TX:2017-05-08	May 8, 2017	May 9, 2017	HOUSTON, TX	Firm change

Relationships

Registered with (2)

→ S•••••• M••••• L••Registered adviserregistration: previous registration
Feb 9, 2007 to Dec 17, 2012factForm ADV
→ B• R•••• W••••• M•••••••••Registered adviserregistration: previous registration
Dec 14, 2012 to May 8, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:54d17f49-eb0c-18ac-f56e-4b368504f19a
First observed: Feb 9, 2007
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.