DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)27 years in industry

B•••• M•••••• A••••••••

Advisor at S•••• F••• I••••••••• M••••••••• C••••

Albuquerque, NM

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Search this name across graphsid dfx:ria:cd932729-2923-2324-93fd-09c7cdb57c84

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 10, 2001 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: S•••• F••• I••••••••• M••••••••• C••••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Sep 26, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• F••• I••••••••• M••••••••• C••••	Asset manager	Aug 10, 2018	n/a	yes	Albuquerque, NM\|Albuquerque, NM	Current employment
S•••• F••• I••••••••• M••••••••• C••••	Asset manager	Jul 30, 2009	Mar 26, 2012	no	ALBUQUERQUE, NM

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• S••••••••• C•••••••••	S•••• F••• I••••••••• M••••••••• C••••	Aug 1, 2007	Jul 30, 2009	729	Firm change after gap	Other
U•••••••• S••••••••• I•••	P••••••••• S••••••••• C•••••••••	Nov 18, 2002	Nov 20, 2002

Relationships

Registered with (3)

→ S•••• F••• I••••••••• M••••••••• C••••Registered adviserregistration: previous registration
Jul 30, 2009 to Mar 26, 2012factForm ADV
→ P••••••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Nov 20, 2002 to Aug 1, 2007factForm ADV
→ U•••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jul 10, 2001 to Nov 18, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd932729-2923-2324-93fd-09c7cdb57c84
First observed: Jul 10, 2001
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.