DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

D•••• G••• M•••••

Advisor at C•••••• S••••• • C••• I•••

Westlake, TX

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Search this name across graphsid dfx:ria:c178389a-c22d-0a9e-c070-2b8a387061df

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 7, 2015 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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
C•••••• S••••• • C••• I•••	National bd RIA	Jan 14, 2023	n/a	yes	Westlake, TX	Current employment
D•••••• C••••• G••••• L••	Independent wealth	Mar 12, 2021	Sep 7, 2021	no	THE WOODLANDS, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D•••••• C••••• G••••• L••	C•••••• S••••• • C••• I•••	Sep 7, 2021	Jan 14, 2023	494	Firm change after gap	RIA to ibd
M•• I•••••••• S•••••••• L••	D•••••• C••••• G••••• L••	Dec 31, 2020	Mar 12, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
10409:310570:TX:2020-12-22	Dec 31, 2020	Mar 12, 2021	HOUSTON, TX	Firm change

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jan 14, 2023 to presentfactForm ADV
→ D•••••• C••••• G••••• L••Registered adviserregistration: previous registration
Mar 12, 2021 to Sep 7, 2021factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 21, 2016 to Dec 31, 2020factForm ADV
→ P••• A••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c178389a-c22d-0a9e-c070-2b8a387061df
First observed: May 7, 2015
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.