DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

E•••••••• S••••••

Advisor at L••••• F•••••••• G••••• L••

Houston, TX | SAINT LOUIS, MO

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Sep 4, 2015 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: L••••• F•••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••• F•••••••• G••••• L••	Bd affiliated wealth	Sep 17, 2024	n/a	yes	SAINT LOUIS, MO\|Houston, TX	Current employment
M••••• F••• W••••• M••••••••• L••	Independent wealth	Nov 14, 2022	Aug 29, 2024	no	Denver, CO\|ALEXANDRIA, VA\|Surfside Beach, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• F••• W••••• M••••••••• L••	L••••• F•••••••• G••••• L••	Aug 29, 2024	Sep 17, 2024	19	Firm change	RIA to ibd
W•••• F•••• A•••••••	M••••• F••• W••••• M••••••••• L••	Oct 24, 2022	Nov 14, 2022

Relationships

Registered with (5)

→ L••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Sep 17, 2024 to presentfactForm ADV
→ M••••• F••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 14, 2022 to Aug 29, 2024factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 15, 2022 to Oct 24, 2022factForm ADV
→ M••••• G•••• I••••••••• A•••••••• L••

Dated events

Occurred
Aug 29, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 24, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 4, 2015
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.