DFX Intelligence

T••••••••• W••••• A•••••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

T••••••••• W••••• A•••••••• L•••

CRD 128135

COLLEGE STATION, TX

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Search this name across graphsid dfx:ria:78a92748-a366-4b21-79c8-36e22ed3aa99

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2026 to Mar 30, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $94.8M••• Locked
Discretionary RAUM: $24.8M
Private client RAUM: $83.1Mderived••• Locked
Private client share: 88%derivedprivate client RAUM over total RAUM
Employees: 11
Advisory employees: 1

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• L•••• S••••	Certified Financial Planner	COLLEGE STATION, TX	18	37	2	no
N••• C•••••• W•••••••••	Certified Financial Planner	COLLEGE STATION, TX	12	28

Relationships

Registered with (3)

← N••• C•••••• W•••••••••Advisorregistration: current employment
May 14, 2014 to presentfactForm ADV
← B•••• L•••• S••••Advisorregistration: previous registration
May 25, 2004 to Dec 31, 2007factForm ADV
← S•••• D•••••• B••••••Advisorregistration: previous registration
Oct 19, 2018 to May 25, 2023factForm ADV

Dated events

Occurred
May 25, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78a92748-a366-4b21-79c8-36e22ed3aa99
First observed: Mar 30, 2026
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds 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.