DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner18 years in industry

S•••••• D•••••• B••••

Advisor at U••••• C•••••• F•••••••• A•••••••

THE WOODLANDS, TX

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Search this name across graphsid dfx:ria:60ca87d4-1ea6-f8fc-6739-058c17415931

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 17, 2008 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: U••••• C•••••• F•••••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 14, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• C•••••• F•••••••• A•••••••	Independent wealth	Dec 5, 2014	n/a	yes	THE WOODLANDS, TX	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Apr 26, 2013	Dec 12, 2014	no	THE WOODLANDS, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	U••••• C•••••• F•••••••• A•••••••	Dec 12, 2014	Dec 5, 2014	-7	Firm change	Other
W•••• F•••• A•••••••	A••••••••• F•••••••• S•••••••• L••	Apr 29, 2013	Apr 26, 2013

Relationships

Registered with (3)

→ U••••• C•••••• F•••••••• A•••••••Registered adviserregistration: current employment
Dec 5, 2014 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 26, 2013 to Dec 12, 2014factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 17, 2008 to Apr 29, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:60ca87d4-1ea6-f8fc-6739-058c17415931
First observed: Mar 17, 2008
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.