DFX Intelligence

E••• P•••••• C••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

E••• P•••••• C••••••••

Advisor at S••••• S••••••••• I•••

PLANO, TX

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Search this name across graphsid dfx:ria:ba08c39e-31e0-db0f-4618-8097ff454da4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 19, 1988 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••••• S••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 12, 1980earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 21derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• S••••••••• I•••	Independent wealth	Sep 16, 2005	n/a	yes	PLANO, TX	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Aug 19, 1988	Sep 19, 2005	no	ADDISON, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S••••• S••••••••• I•••	Sep 19, 2005	Sep 16, 2005	-3	Firm change	Other

Relationships

Registered with (2)

→ S••••• S••••••••• I•••Registered adviserregistration: current employment
Sep 16, 2005 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 19, 1988 to Sep 19, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba08c39e-31e0-db0f-4618-8097ff454da4
First observed: Aug 19, 1988
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.