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

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RIA / WealthAdvisor28 years in industry

S••••• L•••• E••••••

Advisor at C•••••••

San Antonio, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d6e22961-8aa7-a718-89bc-0f71e0ebd484

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 26, 2004 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: C•••••••
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 23, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5

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
C•••••••	Institutional manager	Oct 18, 2019	n/a	yes	San Antonio, TX	Current employment
S•••• T•••• M•••• M••••••••• L•••	Former SEC adviser	Jun 27, 2013	Dec 2, 2019	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
S•••• T•••• M•••• M••••••••• L•••	C•••••••	Dec 2, 2019	Oct 18, 2019	-45	Firm change after gap	Other
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	May 20, 2013

Team moves

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

Team	Left	Joined	From	Kind
112188:175112:TX:2019-12-02	Dec 2, 2019	Oct 18, 2019	SAN ANTONIO, TX	Firm change after gap

Relationships

Registered with (6)

→ C•••••••Registered adviserregistration: current employment
Oct 18, 2019 to presentfactForm ADV
→ S•••• T•••• M•••• M••••••••• L•••Registered adviserregistration: previous registration
Jun 27, 2013 to Dec 2, 2019factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 15, 2008 to May 20, 2013factForm ADV
→ T• A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d6e22961-8aa7-a718-89bc-0f71e0ebd484
First observed: Oct 26, 2004
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.