DFX Intelligence

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

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

C•••••• C••••••••• W•••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

SPRING, TX

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Search this name across graphsid dfx:ria:7601c429-1341-c292-849f-49515852cbbc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 9, 2002 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 16, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Apr 29, 2008	n/a	yes	SPRING, TX	Current employment
A••••••• G•••••• S••••••••• I•••••••••	n/a	Dec 9, 2002	Apr 25, 2008	no	SPRING, TX\|HOUSTON, TX\|SPRING, TX\|SPRING, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• G•••••• S••••••••• I•••••••••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Apr 25, 2008	Apr 29, 2008	4	Firm change	Other

Relationships

Registered with (2)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Apr 29, 2008 to presentfactForm ADV
→ A••••••• G•••••• S••••••••• I•••••••••Registered adviserregistration: previous registration
Dec 9, 2002 to Apr 25, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7601c429-1341-c292-849f-49515852cbbc
First observed: Dec 9, 2002
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.