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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

S••••• S•••••• F•••••

Advisor at T••••• A••••••• S•••••••• I•••

WESTLAKE, TX

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Search this name across graphsid dfx:ria:d030a553-d233-1a40-4317-768354b0a79d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 12, 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••••• A••••••• S•••••••• I•••
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: May 4, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 5derivedfrom 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••••• A••••••• S•••••••• I•••	Bd affiliated wealth	Jun 1, 2021	n/a	yes	WESTLAKE, TX	Current employment
P•• M•••••• A•••••• S••••••••• I•••	Former SEC adviser	Oct 15, 2010	Jun 1, 2021	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
P•• M•••••• A•••••• S••••••••• I•••	T••••• A••••••• S•••••••• I•••	Jun 1, 2021	Jun 1, 2021	0	Firm change	Ibd to ibd
S• J•••• W••••• M•••••••••	P•• M•••••• A•••••• S••••••••• I•••	Oct 15, 2010

Team moves

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

Team	Left	Joined	From	Kind
110476:283390:TX:2021-06-01	Jun 1, 2021	Jun 1, 2021	FRISCO, TX	Firm change

Relationships

Registered with (4)

→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: current employment
Jun 1, 2021 to presentfactForm ADV
→ P•• M•••••• A•••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 15, 2010 to Jun 1, 2021factForm ADV
→ S• J•••• W••••• M•••••••••Registered adviserregistration: previous registration
Apr 1, 2010 to Oct 15, 2010factForm ADV
→ B••• C•••••• I••••••••• S••••••••• I••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d030a553-d233-1a40-4317-768354b0a79d
First observed: Jun 12, 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.