DFX Intelligence

R••••• H•••••••• A••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

R••••• H•••••••• A••••••

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

••• Locked

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Search this name across graphsid dfx:ria:690c396f-bf22-a633-7d83-f5dab19d9fb9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 17, 2002 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••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 11, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Aug 9, 2018	n/a	yes	Ontario, OH\|San Antonio, TX\|Schertz, TX\|Branson, MO\|San Antonio, TX	Current employment
I••••••••• P••••••••• I•••	Former SEC adviser	Jul 16, 2018	Sep 26, 2018	no	SAN ANTONIO, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• P••••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Sep 26, 2018	Aug 9, 2018	-48	Bulk transfer	Ibd to ibd
M•• I•••••••• S•••••••• L••	I••••••••• P••••••••• I•••	May 10, 2018	Jul 16, 2018

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Aug 9, 2018 to presentfactForm ADV
→ I••••••••• P••••••••• I•••Registered adviserregistration: previous registration
Jul 16, 2018 to Sep 26, 2018factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 26, 2008 to May 10, 2018factForm ADV
→ U••• I••••••••• S••••••• C••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:690c396f-bf22-a633-7d83-f5dab19d9fb9
First observed: Sep 17, 2002
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.