DFX Intelligence

I•••• O••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

I•••• O••••

Advisor at D•• W•••••• L••

••• Locked

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Search this name across graphsid dfx:ria:b9f4a1da-e988-8a6f-c0f1-e72b7d397c90

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 6, 2006 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: D•• W•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 14, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D•• W•••••• L••	Independent wealth	Dec 19, 2022	n/a	yes	Albuquerque, NM\|ATLANTA, GA\|Edmond, OK	Current employment
S•• I••••••••• A•••••••• I•••	Former SEC adviser	Dec 19, 2016	Dec 22, 2022	no	ALBUQUERQUE, NM\|SAN DIEGO, CA\|Edmond, OK

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• I••••••••• A•••••••• I•••	D•• W•••••• L••	Dec 22, 2022	Dec 19, 2022	-3	Firm change	Ibd to RIA
F•• S••••••••• C•••••••••	S•• I••••••••• A•••••••• I•••	Dec 22, 2016	Dec 19, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
123608:138938:OK:2022-12-22	Dec 22, 2022	Dec 19, 2022	EDMOND, OK	Firm change
7461:123608:NM:2016-12-22	Dec 22, 2016	Dec 19, 2016	ALBUQUERQUE, NM	Firm change

Relationships

Registered with (4)

→ D•• W•••••• L••Registered adviserregistration: current employment
Dec 19, 2022 to presentfactForm ADV
→ S•• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 19, 2016 to Dec 22, 2022factForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jan 4, 2012 to Dec 22, 2016factForm ADV
→ N•• E•••••• S••••••••• C•••••••••

Dated events

Occurred
Dec 22, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9f4a1da-e988-8a6f-c0f1-e72b7d397c90
First observed: Mar 6, 2006
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.