DFX Intelligence

C•••• D•••• W••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

C•••• D•••• W••••••••

Advisor at R•• C•••••• M••••••• L••

Houston, TX | HOUSTON, TX

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Search this name across graphsid dfx:ria:d297933f-700f-4313-cf0d-895998e9209d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 5, 2000 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 4, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom 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
R•• C•••••• M••••••• L••	National bd RIA	Jul 22, 2025	n/a	yes	HOUSTON, TX\|Houston, TX	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Mar 29, 2010	Nov 11, 2019	no	HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R•• C•••••• M••••••• L••	Nov 11, 2019	Jul 22, 2025	2,080	Firm change after gap	Wirehouse to ibd
U••• A•••• M••••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Nov 22, 2010

Relationships

Registered with (6)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Jul 22, 2025 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Mar 29, 2010 to Nov 11, 2019factForm ADV
→ U••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Mar 4, 2008 to Nov 22, 2010factForm ADV
→ H••••••••• P•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d297933f-700f-4313-cf0d-895998e9209d
First observed: Dec 5, 2000
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.