DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

C•••• R•••••

Advisor at J••• M••••• S••••••••• L••

HOUSTON, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 17, 2003 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: J••• M••••• S••••••••• L••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Mar 11, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Jul 29, 2021	n/a	yes	HOUSTON, TX	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	Jan 11, 2008	Dec 31, 2020	no	HOUSTON, TX\|Webster, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I•••	J••• M••••• S••••••••• L••	Jan 11, 2021	Jul 29, 2021	199	Firm change	Other
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Dec 31, 2020	Jan 11, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
7870:79:TX:2021-01-11	Jan 11, 2021	Jul 29, 2021	WEBSTER, TX	Firm change

Relationships

Registered with (5)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Jul 29, 2021 to presentfactForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Jan 11, 2008 to Jan 11, 2021factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 11, 2008 to Dec 31, 2020factForm ADV
→ N••• F•••••••• G••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 17, 2003
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.