DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)33 years in industry

A•••••• F•••• G••••

Advisor at R•••••• J•••• • A••••••••• I•••

HOUSTON, TX

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Search this name across graphsid dfx:ria:b82727ad-c85d-7560-e4c0-c3d3e10d779c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 10, 2001 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 28, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Sep 24, 2020	n/a	yes	HOUSTON, TX	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	May 6, 2009	Sep 26, 2020	no	HOUSTON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Sep 26, 2020	May 6, 2009	-4,161	Firm change after gap	Other
T• A••••••••• I•••	T• A••••••••• I••••••••• M••••••••• L••	Sep 26, 2020	May 6, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
111514:7870:TX:2020-09-11	Sep 26, 2020	May 6, 2009	HOUSTON, TX	Firm change after gap

Relationships

Registered with (7)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Sep 24, 2020 to presentfactForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
May 6, 2009 to Sep 26, 2020factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
May 6, 2009 to Sep 26, 2020factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b82727ad-c85d-7560-e4c0-c3d3e10d779c
First observed: Jan 10, 2001
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.