DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

D••••• F•••••• S•••••••

Advisor at O••••••••• • C•• I•••

HOUSTON, TX

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Search this name across graphsid dfx:ria:9a1c6012-9006-88ba-eb3e-43f4045c7d11

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 19, 2000 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: O••••••••• • C•• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 10, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O••••••••• • C•• I•••	Bd affiliated wealth	Sep 15, 2014	n/a	yes	HOUSTON, TX	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Sep 18, 2009	no	Asheville, NC\|FRANKLIN, NC	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	O••••••••• • C•• I•••	Sep 18, 2009	Sep 15, 2014	1,823	Firm change after gap	Other
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (3)

→ O••••••••• • C•• I•••Registered adviserregistration: current employment
Sep 15, 2014 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Sep 18, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jul 19, 2000 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a1c6012-9006-88ba-eb3e-43f4045c7d11
First observed: Jul 19, 2000
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.