DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

R••••• D•••• S••••

Advisor at O•••• W•••••• I•••

HOUSTON, TX

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Search this name across graphsid dfx:ria:aa0528ee-15c0-ae20-5944-1abf0a105195

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 10, 2002 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•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 17, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Sep 1, 2023	n/a	yes	HOUSTON, TX	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	May 6, 2016	Sep 1, 2023	no	HOUSTON, TX\|Houston, TX\|S••••SDALE, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	O•••• W•••••• I•••	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
Q•••••• A•••• M••••••••• I•••	S•••••••• F••••••••• I•••	Jun 6, 2016	May 6, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
133358:133763:TX:2016-05-26	Jun 6, 2016	May 6, 2016	HOUSTON, TX	Firm change after gap

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Sep 1, 2023 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
May 6, 2016 to Sep 1, 2023factForm ADV
→ Q•••••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
May 17, 2006 to Jun 6, 2016factForm ADV
→ U•••••••• S••••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aa0528ee-15c0-ae20-5944-1abf0a105195
First observed: Jun 10, 2002
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.