DFX Intelligence

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

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RIA / WealthAdvisor19 years in industry

S•••• M•••••• B•••••••

Advisor at C•••• I••••••••• M••••••••• L••

HOUSTON, TX

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Search this name across graphsid dfx:ria:b992281f-0d25-24ee-8def-61cdda409507

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Apr 16, 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: C•••• I••••••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 16, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••• I••••••••• M••••••••• L••	Independent wealth	May 10, 2022	n/a	yes	HOUSTON, TX	Current employment
C•••••••• M••••••••• G••••	Former SEC adviser	Nov 17, 2015	Jun 10, 2020	no	Canyon Lake, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• M••••••••• G••••	C•••• I••••••••• M••••••••• L••	Jun 10, 2020	May 10, 2022	699	Firm change after gap	RIA to RIA
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Nov 11, 2015	Jan 9, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
111514:7870:TX:2015-11-09	Nov 11, 2015	Jan 9, 2013	AUTTIN, TX	Firm change after gap

Relationships

Registered with (7)

→ C•••• I••••••••• M••••••••• L••Registered adviserregistration: current employment
May 10, 2022 to presentfactForm ADV
→ C•••••••• M••••••••• G••••Registered adviserregistration: previous registration
Nov 17, 2015 to Jun 10, 2020factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 9, 2013 to Nov 11, 2015factForm ADV
→ T• A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b992281f-0d25-24ee-8def-61cdda409507
First observed: Apr 16, 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.