DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

D•••• W•••• M•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Johnson City, TX | Live Oak, TX

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Search this name across graphsid dfx:ria:cc6b259f-a167-c853-6917-60c174f43126

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 27, 2003 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 25, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Sep 3, 2021	n/a	yes	Johnson City, TX\|Live Oak, TX	Current employment
B••••••• W••••• S••••••••	Independent wealth	Jan 21, 2021	Sep 1, 2021	no	SAN ANTONIO, TX\|Dripping Springs, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• W••••• S••••••••	A••••••••• F•••••••• S•••••••• L••	Sep 1, 2021	Sep 3, 2021	2	Firm change	RIA to ibd
S••••••••• A•••••• A•••••••• I•••	B••••••• W••••• S••••••••	Jan 14, 2021	Jan 21, 2021

Relationships

Registered with (7)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 3, 2021 to presentfactForm ADV
→ B••••••• W••••• S••••••••Registered adviserregistration: previous registration
Jan 21, 2021 to Sep 1, 2021factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 29, 2019 to Jan 14, 2021factForm ADV
→ C••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc6b259f-a167-c853-6917-60c174f43126
First observed: Feb 27, 2003
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.