DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

G•••••• D••••• M•••••

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

••• Locked

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Search this name across graphsid dfx:ria:01446054-674b-c823-70cc-70b081e788f1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 3, 2005 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: May 2, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Jan 30, 2009	n/a	yes	STAMFORD, CT\|GREENWICH, CT\|Orford, NH	Current employment
A••••••••• L•••	Other adviser	May 3, 2005	Nov 10, 2008	no	NEW YORK, NY\|NASHVILLE, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• L•••	U•• F•••••••• S••••••• I•••	Nov 10, 2008	Jan 30, 2009	81	Firm change	Other

Relationships

Registered with (2)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Jan 30, 2009 to presentfactForm ADV
→ A••••••••• L•••Registered adviserregistration: previous registration
May 3, 2005 to Nov 10, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01446054-674b-c823-70cc-70b081e788f1
First observed: May 3, 2005
Last observed: Sep 15, 2026 7 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.