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L••• S• G•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

L••• S• G•••••••

Advisor at M••••• S••••••

Houston, TX

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Search this name across graphsid dfx:ria:ba657150-dac7-b5b9-6611-cadff1baa992

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 14, 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: M••••• S••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 10, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Jun 2, 2009	n/a	yes	Houston, TX	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	May 29, 2009	Jul 30, 2009	no	HOUSTON, TX\|NEW YORK, NY

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Jul 30, 2009	Jun 2, 2009	-58	Bulk transfer	Other
U•• I••••••••• I•••	C•••••••• G••••• M•••••• I•••	Jun 18, 2009

Relationships

Registered with (4)

→ M••••• S••••••Registered adviserregistration: current employment
Jun 2, 2009 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 29, 2009 to Jul 30, 2009factForm ADV
→ U•• I••••••••• I•••Registered adviserregistration: previous registration
Jun 3, 2002 to Jun 18, 2009factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba657150-dac7-b5b9-6611-cadff1baa992
First observed: May 14, 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.