DFX Intelligence

R•••••• L• H•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

R•••••• L• H•••••

Advisor at S••••••••• W••••• M••••••••• L••

TULSA, OK

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Search this name across graphsid dfx:ria:b9143c5f-1315-57f0-ad06-7517ac5f9a42

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 28, 1999 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••••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 30, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• W••••• M••••••••• L••	Independent wealth	Jan 1, 2025	n/a	yes	TULSA, OK	Current employment
S••••••••• W••••• M••••••••• L••	Independent wealth	Nov 9, 2018	Dec 31, 2022	no	TULSA, OK	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	S••••••••• W••••• M••••••••• L••	Nov 19, 2018	Nov 9, 2018	-10	Firm change	Wirehouse to new firm
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	U•• F•••••••• S••••••• I•••	Jan 15, 2009	Jan 14, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:297761:OK:2018-11-19	Nov 19, 2018	Nov 9, 2018	TULSA, OK	Firm change

Relationships

Registered with (3)

→ S••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 9, 2018 to Dec 31, 2022factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jan 14, 2009 to Nov 19, 2018factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 28, 1999 to Jan 15, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9143c5f-1315-57f0-ad06-7517ac5f9a42
First observed: Oct 28, 1999
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.