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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

R••••• C••••••••• O••••

Advisor at C•••••• S••••• • C••• I•••

Westlake, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 8, 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 5, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jan 26, 2022	n/a	yes	Westlake, TX	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	Jan 23, 2020	Dec 15, 2022	no	Southlake, TX\|Westlake, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I••••••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Dec 15, 2022	Jan 26, 2022	-323	Bulk transfer	RIA to ibd
T• A••••••••• I•••	T• A••••••••• I••••••••• M••••••••• L••	Oct 14, 2022	Jan 23, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
7870:111514:TX:2018-09-07	Sep 7, 2018	Jul 1, 2016	WESTLAKE, TX	Firm change after gap

Relationships

Registered with (5)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jan 26, 2022 to presentfactForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 23, 2020 to Dec 15, 2022factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Jan 23, 2020 to Oct 14, 2022factForm ADV
→ F••••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 8, 2015
Last observed: Sep 14, 2026 10 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.