DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

G•••••• S•••• S•••••

Advisor at O• I••••••••• M••••••••• C•

Lafayette, LA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 5
On other graphs: 0
Observed: May 24, 2017 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• I••••••••• M••••••••• C•
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 11

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O• I••••••••• M••••••••• C•	Bd affiliated wealth	Aug 12, 2026	n/a	yes	Lafayette, LA	Current employment
A••••••• C•••••• M••••••••• L••	Independent wealth	Sep 30, 2025	Aug 19, 2026	no	DES MOINES, IA\|LAFAYETTE, LA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• C•••••• M••••••••• L••	O• I••••••••• M••••••••• C•	Aug 19, 2026	Aug 12, 2026	-7	Firm change	RIA to ibd
A••••••••• F•••••••• S•••••••• L••	A••••••• C•••••• M••••••••• L••	Sep 3, 2025	Sep 30, 2025

Relationships

Registered with (12)

→ O• I••••••••• M••••••••• C•Registered adviserregistration: current employment
Aug 12, 2026 to presentfactForm ADV
→ A••••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 30, 2025 to Aug 19, 2026factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 12, 2024 to Sep 3, 2025factForm ADV
→ P•••••••• S••••••••• I•••

Dated events

Order

Occurred
19 Aug 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
3 Sep 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
22 Jul 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
3 Oct 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
23 May 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 24, 2017
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.

All 12 rows

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P•••••••• L••	Independent wealth	Jan 8, 2018	Apr 15, 2019	no	Mermentau, LA\|OMAHA, NE	Previous registration
Q•••••• A•••• M••••••••• I•••	Former SEC adviser	May 24, 2017	Aug 3, 2017	no	MERMENTAU, LA\|MINNEAPOLIS, MN	Previous registration

All 11 rows

From	To	Left	Joined	Gap, days	Kind	Move type
Q•••••• A•••• M••••••••• I•••	S•••••• P•••••••• L••	Aug 3, 2017	Jan 8, 2018	158	Firm change	Other