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F•••• P•••••• W••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor34 years in industry

F•••• P•••••• W••••

Advisor at S••••••• I••••••••• M••••••••• G••••• L••

HOUSTON, TX

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Search this name across graphsid dfx:ria:df24c7ba-f74f-b1f6-211b-3bfd78bc3013

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 29, 2005 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••••••• I••••••••• M••••••••• G••••• L••
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 22, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 20derivedfrom the current registration's begin date
Prior firms

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
S••••••• I••••••••• M••••••••• G••••• L••	Asset manager	Oct 10, 2005	n/a	yes	HOUSTON, TX	Current employment
S•••••••	Bd affiliated wealth	Oct 10, 2005	Dec 22, 2023	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•••••••	S••••••• I••••••••• M••••••••• G••••• L••	Dec 22, 2023	Oct 10, 2005	-6,647	Firm change after gap	Other
I•••••• A•• P•••••• A•••• M••••••••• I•••	S•••••••	Oct 3, 2005

Team moves

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

Team	Left	Joined	From	Kind
3496:136369:TX:2023-12-22	Dec 22, 2023	Oct 10, 2005	HOUSTON, TX	Firm change after gap

Relationships

Registered with (3)

→ S••••••• I••••••••• M••••••••• G••••• L••Registered adviserregistration: current employment
Oct 10, 2005 to presentfactForm ADV
→ S•••••••Registered adviserregistration: previous registration
Oct 10, 2005 to Dec 22, 2023factForm ADV
→ I•••••• A•• P•••••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Aug 29, 2005 to Oct 3, 2005factForm ADV

Dated events

Occurred
Dec 22, 2023
Advisor changed firm
F•••• P•••••• W•••• left Stephens for S••••••• I••••••••• M••••••••• G••••• L•• (registered 2005-10-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df24c7ba-f74f-b1f6-211b-3bfd78bc3013
First observed: Aug 29, 2005
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.