DFX Intelligence

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

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

B•••••• A••• B•••••

Advisor at S•••••••• W••••• A••••••• L••

HOUSTON, TX

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Search this name across graphsid dfx:ria:8dcf5207-c122-609e-41f5-240a22e56ab1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 16, 2007 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: S•••••••• W••••• A••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 10, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• W••••• A••••••• L••	Independent wealth	Jun 29, 2022	n/a	yes	HOUSTON, TX	Current employment
I••••• F••••••••	Independent wealth	Oct 14, 2016	Nov 8, 2023	no	SUGAR LAND, TX\|HOUSTON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••• F••••••••	S•••••••• W••••• A••••••• L••	Nov 8, 2023	Jun 29, 2022	-497	Firm change after gap	RIA to RIA
C••••• I••••••••• A••••••• L••	I••••• F••••••••	Oct 14, 2016	Oct 14, 2016

Relationships

Registered with (5)

→ S•••••••• W••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2022 to presentfactForm ADV
→ I••••• F••••••••Registered adviserregistration: previous registration
Oct 14, 2016 to Nov 8, 2023factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jan 21, 2014 to Oct 14, 2016factForm ADV
→ C••••• I••••••••• S••••••• L••

Dated events

Occurred
Nov 8, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8dcf5207-c122-609e-41f5-240a22e56ab1
First observed: Jul 16, 2007
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.