DFX Intelligence

C•••••• R•• K•••••: advisor on the ria / wealth management graph | DFX Data Factory

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

C•••••• R•• K•••••

Advisor at S••••• A•••• M••••••••• L•••••

Houston, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 2, 2001 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: S••••• A•••• M••••••••• L•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• A•••• M••••••••• L•••••	Independent wealth	Sep 3, 2024	n/a	yes	Houston, TX	Current employment
N••• F•••••••• G••••• I•••	Former SEC adviser	Nov 19, 2007	Sep 3, 2024	no	HOUSTON, TX\|HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••• F•••••••• G••••• I•••	S••••• A•••• M••••••••• L•••••	Sep 3, 2024	Sep 3, 2024	0	Firm change	Ibd to RIA
M•••• • I••••••••• C•••••••	N••• F•••••••• G••••• I•••	Dec 31, 2015	Nov 19, 2007

Relationships

Registered with (3)

→ S••••• A•••• M••••••••• L•••••Registered adviserregistration: current employment
Sep 3, 2024 to presentfactForm ADV
→ N••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Nov 19, 2007 to Sep 3, 2024factForm ADV
→ M•••• • I••••••••• C•••••••Registered adviserregistration: previous registration
Apr 2, 2001 to Dec 31, 2015factForm ADV

Dated events

Occurred
Sep 3, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 2, 2001
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.