DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

R••••• M• M•••••• C•••

Advisor at W•••• F•••• A•••••••

BEAUMONT, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 15, 1995 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: May 16, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Jan 15, 2026	n/a	yes	BEAUMONT, TX	Current employment
W•••• F•••• A•••••••	Wirehouse	Nov 1, 2019	Jan 15, 2026	no	BEAUMONT, TX\|BEAUMONT, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	W•••• F•••• A•••••••	Jan 15, 2026	Jan 15, 2026	0	Channel change	Wirehouse to wirehouse
U•• F•••••••• S••••••• I•••	W•••• F•••• A•••••••	Nov 12, 2019	Nov 1, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:11025:TX:2026-01-13	Jan 15, 2026	Jan 15, 2026	BEAUMONT, TX	Firm change
8174:19616:TX:2019-11-12	Nov 12, 2019	Nov 1, 2019	BEAUMONT, TX	Firm change

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Jan 15, 2026 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Nov 1, 2019 to Jan 15, 2026factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Oct 19, 2007 to Nov 12, 2019factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 15, 1995
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.