F•• F•••••••••

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

SAN ANTONIO, TX | SAN JOSE, CA

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 graphsid dfx:ria:140de833-d478-c746-43ac-748f5c6bcb04

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
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: Jul 8, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Jun 13, 2011	n/a	yes	SAN ANTONIO, TX\|SAN JOSE, CA	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Jan 19, 2010	no	Santa Cruz, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	U•• F•••••••• S••••••• I•••	Jan 19, 2010	Jun 13, 2011	510	Firm change after gap	Wirehouse to wirehouse
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (4)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Jun 13, 2011 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Jan 19, 2010factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Jun 15, 2007 to Jun 1, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:140de833-d478-c746-43ac-748f5c6bcb04
First observed: Jul 8, 1997
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.