DFX Intelligence

R••• P•••••• M••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

R••• P•••••• M••••••••

Advisor at S•••••• S•••••••••

HOUSTON, TX | Colleyville, TX

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Search this name across graphsid dfx:ria:df247e21-a0f1-b1a1-23b9-80bf106fb4fb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 28, 2009 to Sep 15, 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•••••• S•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• S•••••••••	Bd affiliated wealth	Oct 25, 2016	n/a	yes	HOUSTON, TX\|HOUSTON, TX\|Colleyville, TX	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Sep 28, 2009	Nov 17, 2016	no	SOUTHLAKE, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S•••••• S•••••••••	Nov 17, 2016	Oct 25, 2016	-23	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:42180:TX:2016-11-17	Nov 17, 2016	Oct 25, 2016	SOUTHLAKE, TX	Firm change

Relationships

Registered with (2)

→ S•••••• S•••••••••Registered adviserregistration: current employment
Oct 25, 2016 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 28, 2009 to Nov 17, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df247e21-a0f1-b1a1-23b9-80bf106fb4fb
First observed: Sep 28, 2009
Last observed: Sep 15, 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.