DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

R••• C••••••••• M•••••• G••••••

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

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:03b15dff-2d93-31df-d772-cfb7167c6179

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 23, 2008 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 21, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Feb 11, 2021	n/a	yes	WALNUT CREEK, CA	Current employment
J••• M••••• P•••••• W••••• A••••••• L••	Former SEC adviser	Aug 21, 2013	Feb 1, 2021	no	SAN FRANCISCO, CA\|WALNUT CREEK, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• P•••••• W••••• A••••••• L••	U•• F•••••••• S••••••• I•••	Feb 1, 2021	Feb 11, 2021	10	Firm change	Ibd to wirehouse
A••••• F•••••••• G••••• L••	J••• M••••• P•••••• W••••• A••••••• L••	Dec 21, 2012	Aug 21, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
108559:8174:CA:2021-02-01	Feb 1, 2021	Feb 11, 2021	WALNUT CREEK, CA	Firm change

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Feb 11, 2021 to presentfactForm ADV
→ J••• M••••• P•••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Aug 21, 2013 to Feb 1, 2021factForm ADV
→ A••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Jul 23, 2008 to Dec 21, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:03b15dff-2d93-31df-d772-cfb7167c6179
First observed: Jul 23, 2008
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.