DFX Intelligence

T••••• O••••••• Y••••: advisor on the ria / wealth management graph | DFX Data Factory

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

T••••• O••••••• Y••••

Advisor at A••••••• A••••••• S•••••••• L••

Sachse, TX | Dallas, TX

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Search this name across graphsid dfx:ria:6708e687-8e7f-edd4-fc74-e7f6f50e2540

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 9, 2003 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: A••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 27, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Nov 1, 2021	n/a	yes	Sachse, TX\|Dallas, TX	Current employment
C••••••• I••••••••• I•••	n/a	Oct 20, 2005	Jun 30, 2006	no	ADDISON, TX\|ADDISON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• I••••••••• I•••	A••••••• A••••••• S•••••••• L••	Jun 30, 2006	Nov 1, 2021	5,603	Firm change after gap	Other
P•••••••• S••••••••• I•••	C••••••• I••••••••• I•••	Oct 4, 2005	Oct 20, 2005

Relationships

Registered with (3)

→ A••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 1, 2021 to presentfactForm ADV
→ C••••••• I••••••••• I•••Registered adviserregistration: previous registration
Oct 20, 2005 to Jun 30, 2006factForm ADV
→ P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
May 9, 2003 to Oct 4, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6708e687-8e7f-edd4-fc74-e7f6f50e2540
First observed: May 9, 2003
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.