DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

A•• A•••••• M••••

Advisor at T••••••• S••••••• A•••••••

Nacogdoches, TX | INDIANAPOLIS, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cd1674d1-628a-9dc2-7775-0bc0319a33d0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 15, 2002 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: T••••••• S••••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 15, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

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
T••••••• S••••••• A•••••••	Bd affiliated wealth	Oct 20, 2025	n/a	yes	Nacogdoches, TX\|INDIANAPOLIS, IN	Current employment
W•••• F•••• A•••••••	Wirehouse	Jun 17, 2021	Oct 27, 2025	no

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
W•••• F•••• A•••••••	T••••••• S••••••• A•••••••	Oct 27, 2025	Oct 20, 2025	-7	Firm change	Wirehouse to ibd
W•••• F•••• A•••••••	W•••• F•••• A•••••••	Jun 17, 2021

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
11025:299201:TX:2025-10-15	Oct 27, 2025	Oct 20, 2025	NACOGDOCHES, TX	Firm change
19616:11025:TX:2021-06-17	Jun 17, 2021	Jun 17, 2021	NACOGDOCHES, TX	Firm change

Relationships

Registered with (4)

→ T••••••• S••••••• A•••••••Registered adviserregistration: current employment
Oct 20, 2025 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 17, 2021 to Oct 27, 2025factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Jun 17, 2021factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviser

Dated events

Occurred
Oct 27, 2025
Advisor changed firm
A•• A•••••• M•••• left W•••• F•••• A••••••• for T••••••• S••••••• A••••••• (registered 2025-10-20)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd1674d1-628a-9dc2-7775-0bc0319a33d0
First observed: Nov 15, 2002
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.