DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

M••••••• S• F•••

Advisor at N•• E••••• C••••••

AUSTIN, TX

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Search this name across graphsid dfx:ria:d1d126a2-5f56-9093-36bc-57f7dc262399

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 26, 2005 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: N•• E••••• C••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Aug 6, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• E••••• C••••••	State registered	Jan 3, 2022	n/a	yes	AUSTIN, TX	Current employment
W•••• F•••• A•••••••	Wirehouse	Dec 8, 2009	Mar 25, 2013	no	AUSTIN, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	N•• E••••• C••••••	Mar 25, 2013	Jan 3, 2022	3,206	Firm change after gap	Wirehouse to state RIA
C••••••• M••••••••• I••••••••• A•••••••• L••	W•••• F•••• A•••••••	Jun 1, 2009	Dec 8, 2009

Relationships

Registered with (4)

→ N•• E••••• C••••••Registered adviserregistration: current employment
Jan 3, 2022 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Dec 8, 2009 to Mar 25, 2013factForm ADV
→ C••••••• M••••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 25, 2008 to Jun 1, 2009factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d1d126a2-5f56-9093-36bc-57f7dc262399
First observed: Jan 26, 2005
Last observed: Sep 14, 2026 9 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.