DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner23 years in industry

D•••• P••• G•••••

Advisor at S••• W••••• A•••••••

PLANO, TX

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Search this name across graphsid dfx:ria:f629908c-b23a-67fc-5dbf-81427f0a0d9c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 6, 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: S••• W••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Aug 6, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••• W••••• A•••••••	Independent wealth	Oct 4, 2016	n/a	yes	PLANO, TX	Current employment
P•• I••••••••• L••	Former SEC adviser	Aug 6, 2003	Mar 27, 2015	no	PLANO, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•• I••••••••• L••	S••• W••••• A•••••••	Mar 27, 2015	Oct 4, 2016	557	Firm change after gap	Other

Relationships

Registered with (2)

→ S••• W••••• A•••••••Registered adviserregistration: current employment
Oct 4, 2016 to presentfactForm ADV
→ P•• I••••••••• L••Registered adviserregistration: previous registration
Aug 6, 2003 to Mar 27, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f629908c-b23a-67fc-5dbf-81427f0a0d9c
First observed: Aug 6, 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.