DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)17 years in industry

S•••• M•••••

Advisor at S•••••••• A••••••• L••

SAN ANTONIO, TX | BOERNE, TX

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Search this name across graphsid dfx:ria:ce69d314-475b-ec32-fc03-bbefb72a13e2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 23, 2010 to Sep 15, 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	BOERNE, TX\|SAN ANTONIO, TX	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Apr 20, 2023	Mar 31, 2025	no	SAN ANTONIO, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
C•••••• S••••• • C••• I•••	T• A••••••••• I•••	Apr 7, 2023	Feb 8, 2022

Relationships

Registered with (5)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Apr 20, 2023 to Mar 31, 2025factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Dec 23, 2020 to Apr 7, 2023factForm ADV
→ T• A••••••••• I•••

Dated events

Occurred
Oct 14, 2022
Advisor changed firm
S•••• M••••• left T• A••••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-20)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ce69d314-475b-ec32-fc03-bbefb72a13e2
First observed: Mar 23, 2010
Last observed: Sep 15, 2026 7 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.