DFX Intelligence

M••••• S•••••• T••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst23 years in industry

M••••• S•••••• T••••••

Advisor at C• U•• L••

NEW YORK, NY | Houston, TX

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Search this name across graphsid dfx:ria:f3200721-5c8f-51cf-48be-439ec5b6c924

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 11, 2003 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• U•• L••
Current firm class: former SEC adviserderived
Book size: not public••• Locked
Industry start: Aug 8, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C• U•• L••	Former SEC adviser	Sep 4, 2026	n/a	yes	Houston, TX\|NEW YORK, NY	Current employment
E••••••• P•••••••• L••	Former SEC adviser	Oct 10, 2008	Feb 22, 2010	no	DALLAS, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••••• P•••••••• L••	C• U•• L••	Feb 22, 2010	Sep 4, 2026	6,038	Firm change after gap	Other
U••• I••••••••• S••••••• C••••••	E••••••• P•••••••• L••	Sep 19, 2006	Oct 10, 2008

Relationships

Registered with (4)

→ C• U•• L••Registered adviserregistration: current employment
Sep 4, 2026 to presentfactForm ADV
→ E••••••• P•••••••• L••Registered adviserregistration: previous registration
Oct 10, 2008 to Feb 22, 2010factForm ADV
→ U••• I••••••••• S••••••• C••••••Registered adviserregistration: previous registration
Aug 24, 2004 to Sep 19, 2006factForm ADV
→ E•••••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3200721-5c8f-51cf-48be-439ec5b6c924
First observed: Aug 11, 2003
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.