DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

C••••••••• T•••••

Advisor at R•• C•••••• M••••••• L••

HOUSTON, TX

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Search this name across graphsid dfx:ria:baf0ac46-887b-6063-8298-a652146e0c6d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jan 15, 2004 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 16, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Jul 6, 2026	n/a	yes	HOUSTON, TX	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Dec 9, 2022	Jul 17, 2026	no	Katy, TX\|Columbus, OH\|Katy, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	R•• C•••••• M••••••• L••	Jul 17, 2026	Jul 6, 2026	-11	Firm change	Wirehouse to ibd
U••• I••••••••• S••••••• C••••••	J••• M••••• S••••••••• L••	Nov 7, 2022	Dec 9, 2022

Relationships

Registered with (6)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Jul 6, 2026 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Dec 9, 2022 to Jul 17, 2026factForm ADV
→ U••• I••••••••• S••••••• C••••••Registered adviserregistration: previous registration
Jan 8, 2018 to Nov 7, 2022factForm ADV
→ U••• F•••••••• P••••••• S•••••••

Dated events

Occurred
Jul 17, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 7, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:baf0ac46-887b-6063-8298-a652146e0c6d
First observed: Jan 15, 2004
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.