DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner29 years in industry

S••••• M•••••• W••••••

Advisor at C•••••• A••••••• S•••••••• L••

Frisco, TX | DALLAS, TX

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Search this name across graphsid dfx:ria:b6e814e7-9fdd-196e-1e3b-3cfa9a9a695f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 9, 2004 to Sep 15, 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: C•••••• A••••••• S•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 4, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• A••••••• S•••••••• L••	Independent wealth	May 28, 2025	n/a	yes	DALLAS, TX\|Frisco, TX	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Apr 6, 2020	May 19, 2025	no	DENVER, CO\|FRISCO, TX\|NEW YORK, NY\|NEW YORK, NY\|Frisco, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C•••••• A••••••• S•••••••• L••	May 19, 2025	May 28, 2025	9	Firm change	Wirehouse to RIA
A•••••• A••••••• S•••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Feb 24, 2020

Relationships

Registered with (3)

→ C•••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
May 28, 2025 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 6, 2020 to May 19, 2025factForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Feb 9, 2004 to Feb 24, 2020factForm ADV

Dated events

Occurred
May 19, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b6e814e7-9fdd-196e-1e3b-3cfa9a9a695f
First observed: Feb 9, 2004
Last observed: Sep 15, 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.