DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

S•••••• J••••• S••••••••

Advisor at C•••••• S••••• • C••• I•••

Richmond, TX | Westlake, TX

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Search this name across graphsid dfx:ria:633f0ccf-6013-4889-08f5-378c5b57f40f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Mar 21, 1997 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 18, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 9

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jul 12, 2018	n/a	yes	Richmond, TX\|Westlake, TX	Current employment
T• A••••••••• I•••	Former SEC adviser	Jul 27, 2021	Oct 14, 2022	no	Plano, TX\|OMAHA, NE\|Houston, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I•••	n/a	Oct 14, 2022	n/a	n/a	Departure no registered destination	Departure
C•• G••••• A••••••••• I••	C•••••• S••••• • C••• I•••	Jun 15, 2018	Jul 12, 2018	27

Relationships

Registered with (10)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jul 12, 2018 to presentfactForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Jul 27, 2021 to Oct 14, 2022factForm ADV
→ C•• G••••• A••••••••• I••Registered adviserregistration: previous registration
May 9, 2017 to Jun 15, 2018factForm ADV
→ F•••••••• A••••••• G•••• L•••••

Dated events

Occurred
Oct 14, 2022
Advisor departed, no destination yet
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:633f0ccf-6013-4889-08f5-378c5b57f40f
First observed: Mar 21, 1997
Last observed: Sep 15, 2026 7 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.