DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

A••••• B•••• A••••

Advisor at P••• A••••• S••••••••• L••

MONTGOMERY, TX | NEW YORK, NY

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Search this name across graphsid dfx:ria:b61b44ce-12ab-3023-3539-14927aab0414

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Oct 26, 2007 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: P••• A••••• S••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 26, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••• A••••• S••••••••• L••	Bd affiliated wealth	Oct 7, 2022	n/a	yes	NEW YORK, NY\|MONTGOMERY, TX	Current employment
P•••••••• S••••••••• I•••	Bd affiliated wealth	Mar 25, 2015	Sep 13, 2022	no	HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••••• S••••••••• I•••	P••• A••••• S••••••••• L••	Sep 13, 2022	Oct 7, 2022	24	Firm change	Ibd to ibd
S•• P•••••• W••••• H•••••••• L••	P•••••••• S••••••••• I•••	Sep 29, 2014	Mar 25, 2015

Relationships

Registered with (7)

→ P••• A••••• S••••••••• L••Registered adviserregistration: current employment
Oct 7, 2022 to presentfactForm ADV
→ P•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Mar 25, 2015 to Sep 13, 2022factForm ADV
→ S•• P•••••• W••••• H•••••••• L••Registered adviserregistration: previous registration
Jun 27, 2014 to Sep 29, 2014factForm ADV
→ F•• S••••••••• C•••••••••

Dated events

Occurred
Sep 13, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b61b44ce-12ab-3023-3539-14927aab0414
First observed: Oct 26, 2007
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.