DFX Intelligence

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

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RIA / WealthAdvisor39 years in industry

D•••• C•••••• D••••

Advisor at C•••• I••••••••• M••••••••• L••

HOUSTON, TX | Vero Beach, FL

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Search this name across graphsid dfx:ria:8e664da9-f6ee-49bb-162b-c3c8fa2c0421

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 30, 2004 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••••••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 2, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••• I••••••••• M••••••••• L••	Independent wealth	Feb 28, 2019	n/a	yes	HOUSTON, TX\|Vero Beach, FL	Current employment
S•••••••• I••••••••• M•••••••••	Former SEC adviser	Jan 25, 2017	Mar 8, 2018	no	SAINT LOUIS, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• I••••••••• M•••••••••	C•••• I••••••••• M••••••••• L••	Mar 8, 2018	Feb 28, 2019	357	Firm change	Ibd to RIA
L•• F•••••••• L••	S•••••••• I••••••••• M•••••••••	Dec 31, 2011	Jan 25, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
169988:108046:MO:2018-03-08	Mar 8, 2018	Feb 28, 2019	SAINT LOUIS, MO	Firm change

Relationships

Registered with (5)

→ C•••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
Feb 28, 2019 to presentfactForm ADV
→ S•••••••• I••••••••• M•••••••••Registered adviserregistration: previous registration
Jan 25, 2017 to Mar 8, 2018factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 13, 2006 to Dec 31, 2011factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e664da9-f6ee-49bb-162b-c3c8fa2c0421
First observed: Nov 30, 2004
Last observed: Sep 14, 2026 8 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.