DFX Intelligence

S•••• A•••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

S•••• A•••• W•••••

Advisor at U•• F•••••••• S••••••• I•••

BEAUMONT, TX

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Search this name across graphsid dfx:ria:ac98a14a-0c1b-d6c7-25d7-2458ac65bb0b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 25, 1998 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Feb 3, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Feb 3, 2012	n/a	yes	BEAUMONT, TX	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 23, 2007	Jan 17, 2012	no	BEAUMONT, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	U•• F•••••••• S••••••• I•••	Jan 17, 2012	Feb 3, 2012	17	Firm change	Wirehouse to wirehouse
C•••••••• G••••• M•••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Aug 30, 2007

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Feb 3, 2012 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 23, 2007 to Jan 17, 2012factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jun 25, 1998 to Aug 30, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac98a14a-0c1b-d6c7-25d7-2458ac65bb0b
First observed: Jun 25, 1998
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.