DFX Intelligence

A•• R•••• C•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

A•• R•••• C•••••••••

Advisor at U•• F•••••••• S••••••• I•••

Houston, TX | HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 19, 2010 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Nov 16, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Apr 9, 2021	n/a	yes	HOUSTON, TX\|Houston, TX	Current employment
H•••••••• A•••••••• L••	Bd affiliated wealth	Nov 29, 2018	Feb 3, 2021	no	HOUSTON, TX\|Houston, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••••• A•••••••• L••	U•• F•••••••• S••••••• I•••	Feb 3, 2021	Apr 9, 2021	65	Firm change	Ibd to wirehouse
H•••••••• P•••••• C•••••	H•••••••• A•••••••• L••	Dec 31, 2018	Nov 29, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
288687:145323:TX:2018-12-31	Dec 31, 2018	Nov 29, 2018	HOUSTON, TX	Firm change after gap
153914:288687:TX:2017-10-10	Oct 10, 2017	Aug 11, 2017	HOUSTON, TX	Firm change after gap

Relationships

Registered with (5)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Apr 9, 2021 to presentfactForm ADV
→ H•••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 29, 2018 to Feb 3, 2021factForm ADV
→ H•••••••• P•••••• C•••••Registered adviserregistration: previous registration
Aug 11, 2017 to Dec 31, 2018factForm ADV
→ S•••••• C•••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 19, 2010
Last observed: Sep 15, 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.