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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

C•••••••• A••••• B••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:8ae317f8-8737-63e3-2cb8-6c3be64e406a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 7, 1984 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 3, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Aug 31, 2018	n/a	yes	HOUSTON, TX\|Spirit Lake, IA\|katy, TX	Current employment
W•••• F•••• A•••••••	Wirehouse	Jul 1, 2003	Sep 5, 2018	no	HOUSTON, TX\|HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	A••••••••• F•••••••• S•••••••• L••	Sep 5, 2018	Aug 31, 2018	-5	Firm change	Wirehouse to ibd
P••••••••• E••••• G••••• L••	W•••• F•••• A•••••••	Jul 1, 2003	Jul 1, 2003

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:6363:TX:2018-09-05	Sep 5, 2018	Aug 31, 2018	HOUSTON, TX	Firm change

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Aug 31, 2018 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 1, 2003 to Sep 5, 2018factForm ADV
→ P••••••••• E••••• G••••• L••Registered adviserregistration: previous registration
May 7, 1984 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ae317f8-8737-63e3-2cb8-6c3be64e406a
First observed: May 7, 1984
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.