DFX Intelligence

G•••••• M•••••• D••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)42 years in industry

G•••••• M•••••• D••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

SCOTTSDALE, AZ | BULVERDE, TX

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Search this name across graphsid dfx:ria:e706a82a-f3e9-c482-5813-4b45825682bd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 8, 2014 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: ••• Locked
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 19, 1983earliest 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
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Aug 15, 2024	n/a	yes	SCOTTSDALE, AZ\|BULVERDE, TX	Current employment
G•••• P•••• A•••••••• L••	Former SEC adviser	Apr 1, 2021	Aug 21, 2024	no	ROCKVILLE, MD\|Boerne, TX\|ROCKVILLE, MD\|St. Louis Park, MN\|Bulverde, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•••• P•••• A•••••••• L••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Aug 21, 2024	Aug 15, 2024	-6	Firm change	Ibd to RIA
H• B•••• I•••	G•••• P•••• A•••••••• L••	Apr 1, 2021	Apr 1, 2021

Relationships

Registered with (3)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Aug 15, 2024 to presentfactForm ADV
→ G•••• P•••• A•••••••• L••Registered adviserregistration: previous registration
Apr 1, 2021 to Aug 21, 2024factForm ADV
→ H• B•••• I•••Registered adviserregistration: previous registration
Jan 8, 2014 to Apr 1, 2021factForm ADV

Dated events

Occurred
Aug 21, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e706a82a-f3e9-c482-5813-4b45825682bd
First observed: Jan 8, 2014
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.