DFX Intelligence

W••• H••••••• C•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner31 years in industry

W••• H••••••• C•••••••

Advisor at C••• L••

Dallas, TX

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Search this name across graphsid dfx:ria:a7cf17f9-83b1-0941-a507-62963502b2a9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 5, 2004 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••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 12, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Apr 18, 2019	n/a	yes	Dallas, TX	Current employment
C••••••• W••••• S•••••••••	Former SEC adviser	Nov 2, 2010	Mar 30, 2020	no	DALLAS, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• W••••• S•••••••••	C••• L••	Mar 30, 2020	Apr 18, 2019	-347	Firm change after gap	RIA to RIA
C••••••••• F•••••••• N••••••	C••••••• W••••• S•••••••••	Nov 2, 2010	Nov 2, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
155171:155344:TX:2020-03-30	Mar 30, 2020	Apr 18, 2019	DALLAS, TX	Firm change after gap

Relationships

Registered with (3)

→ C••• L••Registered adviserregistration: current employment
Apr 18, 2019 to presentfactForm ADV
→ C••••••• W••••• S•••••••••Registered adviserregistration: previous registration
Nov 2, 2010 to Mar 30, 2020factForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Nov 5, 2004 to Nov 2, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7cf17f9-83b1-0941-a507-62963502b2a9
First observed: Nov 5, 2004
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.