DFX Intelligence

T••••• D•••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

T••••• D•••• M•••••

Advisor at C•••••• S••••• • C••• I•••

Westlake, TX

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 5, 2009 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 1, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jul 9, 2020	n/a	yes	Westlake, TX	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jul 13, 2018	May 5, 2020	no	BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	C•••••• S••••• • C••• I•••	May 5, 2020	Jul 9, 2020	65	Firm change	Ibd to ibd
S•••••••• A••••••• L••	F••••••• P••••••• A•• W•••••••• A•••••••	Jul 13, 2018	Jul 13, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
288590:5393:MA:2020-05-01	May 5, 2020	Jul 9, 2020	BOSTON, MA	Firm change

Relationships

Registered with (3)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jul 9, 2020 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to May 5, 2020factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Dec 20, 2011 to Jul 13, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 5, 2009
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.