DFX Intelligence

N••••••• D•••• I••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

N••••••• D•••• I••••

Advisor at C••••• I••••••••• A••••••• L••

LOCKHART, TX

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Search this name across graphsid dfx:ria:8c58877f-ba18-ddfd-850a-94aaeb658518

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 16, 2012 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 16, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	LOCKHART, TX	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Mar 25, 2024	Sep 5, 2025	no	Giddings, TX\|DALLAS, TX\|Lockhart, TX\|Lockhart, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
E••••• J••••	A•••••• A••••••• S•••••••	Mar 28, 2024	Mar 25, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
250:104556:TX:2024-03-28	Mar 28, 2024	Mar 25, 2024	LOCKHART, TX	Firm change

Relationships

Registered with (6)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Mar 25, 2024 to Sep 5, 2025factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jun 18, 2020 to Mar 28, 2024factForm ADV
→ S••• I••••••••• A••••••• S••••••• L••

Dated events

Occurred
Mar 28, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c58877f-ba18-ddfd-850a-94aaeb658518
First observed: Feb 16, 2012
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.