DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

C•••• M•••••• C•••••••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

BANDERA, TX | HOUSTON, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 30, 1998 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 30, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Aug 22, 2017	n/a	yes	HOUSTON, TX\|BANDERA, TX	Current employment
O•••••• P•••••• W••••• M•••••••••	Independent wealth	Aug 11, 2015	Sep 22, 2017	no	ANGLETON, TX\|AUSTIN, TX\|Angleton, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••••• P•••••• W••••• M•••••••••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Sep 22, 2017	Aug 22, 2017	-31	Firm change after gap	Other
S•••••••• F•••••••• C•••••••• L••	O•••••• P•••••• W••••• M•••••••••	Aug 11, 2015

Relationships

Registered with (6)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Aug 22, 2017 to presentfactForm ADV
→ O•••••• P•••••• W••••• M•••••••••Registered adviserregistration: previous registration
Aug 11, 2015 to Sep 22, 2017factForm ADV
→ S•••••••• F•••••••• C•••••••• L••Registered adviserregistration: previous registration
Jan 5, 2011 to Aug 11, 2015factForm ADV
→ S•••••••• F••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 1998
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.