DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

R•••• V••• P••••

Advisor at C••••• I••••••••• A••••••• L••

NEW ORLEANS, LA | MANDEVILLE, LA

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Search this name across graphsid dfx:ria:6483054e-b902-9295-9daf-a1998810935f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 9, 2000 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 16, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 10, 2022	n/a	yes	NEW ORLEANS, LA\|MANDEVILLE, LA	Current employment
H•••••• W•••••• I••••••••• S••••••• I•••	Independent wealth	May 13, 2013	Aug 10, 2022	no	MANDEVILLE, LA\|DENHAM SPRINGS, LA\|HARVEY, LA\|NEW ORLEANS, LA\|MANDEVILLE, LA\|NEW ORLEANS, LA\|NEW ORLEANS, LA\|NEW ORLEANS, LA\|COVINGTON, LA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••• W•••••• I••••••••• S••••••• I•••	C••••• I••••••••• A••••••• L••	Aug 10, 2022	Aug 10, 2022	0	Bulk transfer	Ibd to ibd
A••••••• F•••••••• A•••••••• L••	H•••••• W•••••• I••••••••• S••••••• I•••	Apr 30, 2013	May 13, 2013

Relationships

Registered with (7)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 10, 2022 to presentfactForm ADV
→ H•••••• W•••••• I••••••••• S••••••• I•••Registered adviserregistration: previous registration
May 13, 2013 to Aug 10, 2022factForm ADV
→ A••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Apr 24, 2013 to Apr 30, 2013factForm ADV
→ P•• W••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6483054e-b902-9295-9daf-a1998810935f
First observed: Feb 9, 2000
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.