DFX Intelligence

L•••• E••••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

L•••• E••••• G••••

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

Katy, TX | HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:92aa8412-89c4-661e-c2ab-a65707521426

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

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Dec 22, 2017 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jul 8, 2025	n/a	yes	Katy, TX\|HOUSTON, TX	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Nov 8, 2023	Jun 25, 2025	no	Houston, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	A••••••••• F•••••••• S•••••••• L••	Jun 25, 2025	Jul 8, 2025	13	Firm change	Ibd to ibd
P•••• C•••••• I•••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Jul 31, 2023	Nov 8, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:304547:TX:2019-09-25	Sep 25, 2019	Aug 13, 2019	HOUSTON, TX	Firm change after gap

Relationships

Registered with (6)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 8, 2025 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Nov 8, 2023 to Jun 25, 2025factForm ADV
→ P•••• C•••••• I•••Registered adviserregistration: previous registration
May 23, 2023 to Jul 31, 2023factForm ADV
→ E••••• I••••••••• L••

Dated events

Occurred
Jun 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 11, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 9, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:92aa8412-89c4-661e-c2ab-a65707521426
First observed: Dec 22, 2017
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.