DFX Intelligence

L••••• V•••••• H•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorPersonal Financial Specialistdual registered (broker-dealer)28 years in industry

L••••• V•••••• H•••••

Advisor at C••••• I••••••••• A••••••• L••

MORGAN CITY, LA

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Search this name across graphsid dfx:ria:e9d54ae9-b54e-54b1-3ee9-d4da78559e98

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 15, 2006 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••• P••••••• P•••••••• I•••	Bd affiliated wealth	May 6, 2026	n/a	yes	MORGAN CITY, LA	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	MORGAN CITY, LA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
1•• G••••• A••••••• I••	A•••••• A••••••• S•••••••	Oct 25, 2019	Oct 25, 2019

Relationships

Registered with (4)

→ A•••••• P••••••• P•••••••• I•••Registered adviserregistration: current employment
May 6, 2026 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Oct 25, 2019 to Sep 5, 2025factForm ADV
→ 1•• G••••• A••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e9d54ae9-b54e-54b1-3ee9-d4da78559e98
First observed: Aug 15, 2006
Last observed: Sep 14, 2026 9 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.