DFX Intelligence

R••• C• T••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)27 years in industry

R••• C• T••••

Advisor at W•• B•••••••• S•••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:700870b6-ea3a-f397-71fa-6338f75f9969

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 6, 2017 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: W•• B•••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 26, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom 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
W•• B•••••••• S•••••••• I•••	Bd affiliated wealth	Oct 20, 2020	n/a	yes	HOUSTON, TX\|HARLINGEN, TX\|CINCINNATI, OH	Current employment
O••••••••• S••••••••• I•••	Bd affiliated wealth	Nov 19, 2019	Oct 20, 2020	no	HOUSTON, TX\|INDIANAPOLIS, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• S••••••••• I•••	W•• B•••••••• S•••••••• I•••	Oct 20, 2020	Oct 20, 2020	0	Firm change	Ibd to ibd
H•••••• T••••••• • K•••• L••	O••••••••• S••••••••• I•••	Aug 27, 2019	Nov 19, 2019

Relationships

Registered with (4)

→ W•• B•••••••• S•••••••• I•••Registered adviserregistration: current employment
Oct 20, 2020 to presentfactForm ADV
→ O••••••••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 19, 2019 to Oct 20, 2020factForm ADV
→ H•••••• T••••••• • K•••• L••Registered adviserregistration: previous registration
May 28, 2019 to Aug 27, 2019factForm ADV
→ T••••••• I••••••••• M••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:700870b6-ea3a-f397-71fa-6338f75f9969
First observed: Nov 6, 2017
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.