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M•••••• L•••• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

M•••••• L•••• S•••••••

Advisor at I•••••••• A•••••••• L••

AUSTIN, TX | Weimar, TX | Hallettsville, TX

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Search this name across graphsid dfx:ria:84c6088b-aa97-d8ca-c30a-34442926a9f7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 5, 2019 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: I•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 21, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
I•••••••• A•••••••• L••	Bd affiliated wealth	Nov 3, 2025	n/a	yes	Weimar, TX\|Hallettsville, TX\|AUSTIN, TX	Current employment
L••• S••••• A•••••••• L••	Former SEC adviser	Nov 5, 2019	Nov 3, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
L••• S••••• A•••••••• L••	I•••••••• A•••••••• L••	Nov 3, 2025	Nov 3, 2025	0	Bulk transfer	Ibd to ibd

Relationships

Registered with (2)

→ I•••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 3, 2025 to presentfactForm ADV
→ L••• S••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 5, 2019 to Nov 3, 2025factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:84c6088b-aa97-d8ca-c30a-34442926a9f7
First observed: Nov 5, 2019
Last observed: Sep 15, 2026 7 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.