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A•• S•••••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

A•• S•••••• N•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Richardson, TX | McKinney, TX

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Search this name across graphsid dfx:ria:e6d303b0-d872-723d-5711-f337f7212c19

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 5, 1999 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 11, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 11derivedfrom 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
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 29, 2015	n/a	yes	Richardson, TX\|McKinney, TX	Current employment
F••••• F••••••••• L••	Independent wealth	Jan 6, 2014	May 29, 2015	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
L•• F•••••••• L••	F••••• F••••••••• L••	Jun 5, 2015	Jan 6, 2014	-515	Firm change after gap	Other
F••••• F••••••••• L••	A••••••••• F•••••••• S•••••••• L••	May 29, 2015

Relationships

Registered with (5)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 5, 1999 to Apr 11, 2003factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 26, 2013 to Jun 5, 2015factForm ADV
→ F••••• F••••••••• L••Registered adviserregistration: previous registration
Jan 6, 2014 to May 29, 2015factForm ADV
→ M••••• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e6d303b0-d872-723d-5711-f337f7212c19
First observed: Apr 5, 1999
Last observed: Sep 15, 2026 7 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.