DFX Intelligence

L•••••• A••• P•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

L•••••• A••• P•••••••••

Advisor at A••• A••••••• P•••••••

Houston, TX | NEW YORK, NY

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Search this name across graphsid dfx:ria:e7fa222c-ef4a-1985-6b76-eed35c1af4bf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 12, 1999 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: A••• A••••••• P•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 24, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••• A••••••• P•••••••	Bd affiliated wealth	Jul 21, 2026	n/a	yes	Houston, TX\|NEW YORK, NY	Current employment
U••• C•••••• W••••• A•••••••• L••	Bd affiliated wealth	Mar 24, 2025	Jul 21, 2026	no	HOUSTON, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• C•••••• W••••• A•••••••• L••	A••• A••••••• P•••••••	Jul 21, 2026	Jul 21, 2026	0	Bulk transfer	Ibd to ibd
O••••••••• • C•• I•••	U••• C•••••• W••••• A•••••••• L••	Apr 14, 2025	Mar 24, 2025

Relationships

Registered with (6)

→ A••• A••••••• P•••••••Registered adviserregistration: current employment
Jul 21, 2026 to presentfactForm ADV
→ U••• C•••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Mar 24, 2025 to Jul 21, 2026factForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
May 1, 2009 to Apr 14, 2025factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Apr 14, 2025
Advisor changed firm
L•••••• A••• P••••••••• left O••••••••• • C•• I••• for U••• C•••••• W••••• A•••••••• L•• (registered 2025-03-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e7fa222c-ef4a-1985-6b76-eed35c1af4bf
First observed: Feb 12, 1999
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.