DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

R••••• D•••• L••••••

Advisor at SPC

ANN ARBOR, MI | Spring, TX

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Search this name across graphsid dfx:ria:9d8b0391-ee78-f4cd-3b9d-5f149d1ccc94

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 5
On other graphs: 0
Observed: Dec 17, 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: SPC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 14, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 13

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••	Bd affiliated wealth	Jul 20, 2026	n/a	yes	Spring, TX\|ANN ARBOR, MI	Current employment
S•••• F••• I••••••••• M••••••••• C••••	Asset manager	Apr 4, 2025	Aug 21, 2025	no	The Woodlands, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••• F••• I••••••••• M••••••••• C••••	S••	Aug 21, 2025	Jul 20, 2026	333	Firm change	Other
L•• E••••••••• L••	S•••• F••• I••••••••• M••••••••• C••••	Mar 24, 2025	Apr 4, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
79:6413:TX:2016-10-28	Oct 28, 2016	Oct 18, 2016	SPRING, TX	Firm change

Relationships

Registered with (12)

→ SPCRegistered adviserregistration: current employment
Jul 20, 2026 to presentfactForm ADV
→ S•••• F••• I••••••••• M••••••••• C••••Registered adviserregistration: previous registration
Apr 4, 2025 to Aug 21, 2025factForm ADV
→ L•• E••••••••• L••Registered adviserregistration: previous registration
Nov 14, 2024 to Mar 24, 2025factForm ADV
→ P•••• S••••••••• L••

Dated events

Occurred
Aug 21, 2025
Advisor changed firm
R••••• D•••• L•••••• left S•••• F••• I••••••••• M••••••••• C•••• for Spc (registered 2026-07-20)
Form ADVobserved 7 days ago
Occurred
Mar 24, 2025
Advisor changed firm
R••••• D•••• L•••••• left L•• E••••••••• L•• for S•••• F••• I••••••••• M••••••••• C•••• (registered 2025-04-04)
Form ADVobserved 7 days ago
Occurred
Sep 3, 2024
Advisor changed firm
R••••• D•••• L•••••• left A••••••• F•••••••• A•••••••• L•• for P•••• S••••••••• L•• (registered 2024-09-11)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d8b0391-ee78-f4cd-3b9d-5f149d1ccc94
First observed: Dec 17, 2007
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.