DFX Intelligence

A•••• C•••••• D•••••: advisor on the ria / wealth management graph | DFX Data Factory

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

A•••• C•••••• D•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Lumberton, TX

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Search this name across graphsid dfx:ria:b1967103-c7c3-f9df-478d-77aa38753fdc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Jul 27, 2012 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 13, 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
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Sep 5, 2025	n/a	yes	Lumberton, TX	Current employment
E••••• J••••	National bd RIA	Jul 18, 2023	Sep 8, 2025	no	BEAUMONT, TX\|ST. LOUIS, MO\|BEAUMONT, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	A••••••••• F•••••••• S•••••••• L••	Sep 8, 2025	Sep 5, 2025	-3	Firm change	Ibd to ibd
N••••••••• M••••• I••••••••• S•••••••••	E••••• J••••	Apr 20, 2023	Jul 18, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
250:6363:TX:2025-09-02	Sep 8, 2025	Sep 5, 2025	BEAUMONT, TX	Firm change
6363:6413:TX:2018-08-21	Aug 29, 2018	Sep 10, 2018	BEAUMONT, TX	Firm change

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 27, 2012 to Aug 29, 2018factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jul 18, 2023 to Sep 8, 2025factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Mar 28, 2023 to Apr 20, 2023factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Sep 8, 2025
Advisor changed firm
A•••• C•••••• D••••• left E••••• J•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-09-05)
Form ADVobserved 7 days ago
Occurred
Apr 20, 2023
Advisor changed firm
A•••• C•••••• D••••• left N••••••••• M••••• I••••••••• S••••••••• for E••••• J•••• (registered 2023-07-18)
Form ADVobserved 7 days ago
Occurred
Feb 17, 2023
Advisor changed firm
A•••• C•••••• D••••• left L•• F•••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-03-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b1967103-c7c3-f9df-478d-77aa38753fdc
First observed: Jul 27, 2012
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.