DFX Intelligence

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

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RIA / WealthAdvisor15 years in industry

S•••• R••• M•••••

Advisor at R••••• W••••• M•••••••••

LAKEWAY, TX

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Search this name across graphsid dfx:ria:67dc5fd9-0f9a-5a21-09b4-d15911084748

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2010 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: R••••• W••••• M•••••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Nov 11, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••• W••••• M•••••••••	State registered	Apr 15, 2021	n/a	yes	LAKEWAY, TX	Current employment
P••••••••• A••••••• S••••••• L••	Former SEC adviser	Oct 12, 2018	Oct 28, 2020	no	SANTA BARBARA, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• A••••••• S••••••• L••	R••••• W••••• M•••••••••	Oct 28, 2020	Apr 15, 2021	169	Firm change	RIA to state RIA
W•••• F•••• A•••••••	P••••••••• A••••••• S••••••• L••	Oct 25, 2018	Oct 12, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:113621:CA:2018-10-25	Oct 25, 2018	Oct 12, 2018	SANTA BARBARA, CA	Firm change
250:19616:MO:2015-10-12	Oct 12, 2015	Oct 12, 2015	ST LOUIS, MO	Firm change

Relationships

Registered with (4)

→ R••••• W••••• M•••••••••Registered adviserregistration: current employment
Apr 15, 2021 to presentfactForm ADV
→ P••••••••• A••••••• S••••••• L••Registered adviserregistration: previous registration
Oct 12, 2018 to Oct 28, 2020factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Oct 12, 2015 to Oct 25, 2018factForm ADV
→ E••••• J••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67dc5fd9-0f9a-5a21-09b4-d15911084748
First observed: Nov 15, 2010
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.