DFX Intelligence

D••••• R•• G••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

D••••• R•• G••••••••

Advisor at S••••••• F••••••••• L••• C••

HOUSTON, TX | TOMBALL, 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, 8:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 21, 1983 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: S••••••• F••••••••• L••• C••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 22, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 22derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• F••••••••• L••• C••	Independent wealth	Jul 23, 2014	n/a	yes	TOMBALL, TX\|HOUSTON, TX	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jun 18, 2004	n/a	yes	TOMBALL, TX	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W• G••••••• S••••••••• I•••	L•• F•••••••• L••	Jun 2, 2004	Jun 18, 2004	16	Firm change	Other

Relationships

Registered with (3)

→ S••••••• F••••••••• L••• C••Registered adviserregistration: current employment
Jul 23, 2014 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 18, 2004 to presentfactForm ADV
→ W• G••••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 21, 1983 to Jun 2, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 21, 1983
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.