DFX Intelligence

H••••• B••••••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

H••••• B••••••• S••••••

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

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:13140ae5-a09f-a353-9812-93301f98b3b7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: Oct 10, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Feb 14, 2008	n/a	yes	LOS ANGELES, CA	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Jul 8, 1997	Feb 27, 2008	no	LOS ANGELES, CA\|LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	U•• F•••••••• S••••••• I•••	Feb 27, 2008	Feb 14, 2008	-13	Firm change	Other

Relationships

Registered with (2)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Feb 14, 2008 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Feb 27, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13140ae5-a09f-a353-9812-93301f98b3b7
First observed: Jul 8, 1997
Last observed: Sep 14, 2026 8 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.