DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)9 years in industry

N••••••• E• G•••••••

Advisor at S•••••••• A••••••• L••

RICHMOND, TX | SUGAR LAND, TX

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Search this name across graphsid dfx:ria:b6c2ec58-26d2-bf91-4f99-e624bd7cafa7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: May 29, 2018 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: S•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Oct 1, 2016earliest registration or exam on IAPD
Years in industry: 9derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Oct 3, 2025	n/a	yes	SUGAR LAND, TX\|RICHMOND, TX	Current employment
G•••••• H••••• A•••••••• I•••	Independent wealth	Mar 1, 2024	Mar 10, 2025	no	HOUSTON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•••••• H••••• A•••••••• I•••	S•••••••• A••••••• L••	Mar 10, 2025	Oct 3, 2025	207	Firm change	RIA to ibd
J••• M••••• S••••••••• L••	G•••••• H••••• A•••••••• I•••	Feb 18, 2024	Mar 1, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:79:NY:2022-10-03	Oct 11, 2022	Oct 24, 2022	NEW YORK, NY	Firm change
7691:8174:NY:2021-02-19	Mar 22, 2021	Mar 19, 2021	NEW YORK, NY	Firm change

Relationships

Registered with (6)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Oct 3, 2025 to presentfactForm ADV
→ G•••••• H••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 1, 2024 to Mar 10, 2025factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 24, 2022 to Feb 18, 2024factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

Occurred
Mar 10, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 18, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 11, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b6c2ec58-26d2-bf91-4f99-e624bd7cafa7
First observed: May 29, 2018
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.