DFX Intelligence

R••••• B•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

R••••• B•••••••••

Advisor at P•• A•••••••

Houston, TX

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Search this name across graphsid dfx:ria:9c15aed1-8ab5-ddec-ddde-665396c789fb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 14, 2007 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: P•• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•• A•••••••	Independent wealth	Apr 1, 2025	n/a	yes	Houston, TX	Current employment
C••• F•••••••• S•••••••• L•••	Former SEC adviser	Oct 1, 2021	Mar 31, 2025	no	Houston, TX\|Houston, TX\|Katy, TX\|Humble, TX\|Houston, TX\|Houston, TX\|Sugar Land, TX\|Houston, TX\|Houston, TX\|Houston, TX\|Houston, TX\|SAN DIEGO, CA\|Houston, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• F•••••••• S•••••••• L•••	P•• A•••••••	Mar 31, 2025	Apr 1, 2025	1	Firm change	Ibd to RIA
C••• B•••••••• S•••••••• I•••	C••• F•••••••• S•••••••• L•••	Oct 5, 2021	Oct 1, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
42132:173344:TX:2025-03-31	Mar 31, 2025	Apr 1, 2025	HOUSTON, TX	Firm change
42132:13941:TX:2019-12-31	Dec 31, 2019	Dec 18, 2019	SPRING, TX	Firm change

Relationships

Registered with (4)

→ P•• A•••••••Registered adviserregistration: current employment
Apr 1, 2025 to presentfactForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Oct 1, 2021 to Mar 31, 2025factForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 18, 2019 to Oct 5, 2021factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Mar 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c15aed1-8ab5-ddec-ddde-665396c789fb
First observed: Nov 14, 2007
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.