DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

M•••••• L•••••• C•••••

Advisor at C•••••• S••••• • C••• I•••

Houston, TX | Sugar Land, TX

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Search this name across graphsid dfx:ria:9ad61eba-6823-5bf3-3f07-f3676f6021a2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 26, 2010 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 23, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Nov 23, 2025	n/a	yes	Houston, TX\|Sugar Land, TX	Current employment
T• A••••••••• I•••	Former SEC adviser	Feb 27, 2018	Oct 14, 2022	no	SAN GABRIEL, CA\|Pasadena, CA\|Pasadena, CA\|OMAHA, NE

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Sep 7, 2023	Feb 27, 2018	-2,018	Channel change	Other
T• A••••••••• I•••	C•••••• S••••• • C••• I•••	Oct 14, 2022	Nov 23, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
111514:7870:CA:2023-09-07	Sep 7, 2023	Feb 27, 2018	PASADENA, CA	Firm change after gap
7870:5393:NE:2022-10-14	Oct 14, 2022	Nov 23, 2025	OMAHA, NE	Firm change after gap

Relationships

Registered with (5)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Nov 23, 2025 to presentfactForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 26, 2018 to Sep 7, 2023factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Feb 27, 2018 to Oct 14, 2022factForm ADV
→ S•••••••• I••••••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ad61eba-6823-5bf3-3f07-f3676f6021a2
First observed: Jul 26, 2010
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.