DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

P••••• D•••• T•••••••

Advisor at R•• C•••••• M••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:928a146a-6ad3-77a1-3832-af1e4f77a867

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Dec 20, 2022 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Sep 5, 2024	n/a	yes	Irvine, CA\|Frisco, TX\|Richardson, TX	Current employment
F••••• I•••••••••	Independent wealth	Dec 20, 2022	Aug 22, 2024	no	PLANO, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••• I•••••••••	R•• C•••••• M••••••• L••	Aug 22, 2024	Sep 5, 2024	14	Firm change	RIA to ibd

Relationships

Registered with (2)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Sep 5, 2024 to presentfactForm ADV
→ F••••• I•••••••••Registered adviserregistration: previous registration
Dec 20, 2022 to Aug 22, 2024factForm ADV

Dated events

Occurred
Aug 22, 2024
Advisor changed firm
P••••• D•••• T••••••• left F••••• I••••••••• for R•• C•••••• M••••••• L•• (registered 2024-09-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:928a146a-6ad3-77a1-3832-af1e4f77a867
First observed: Dec 20, 2022
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.