DFX Intelligence

A••••••••• P• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

A••••••••• P• T•••••

Advisor at U••• B•••••• A•••••••• L••

Tempe, AZ | Scottsdale, AZ

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Search this name across graphsid dfx:ria:1437849a-f12a-685f-932f-e412868f594d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 9, 2007 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••• B•••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 9, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 28, 2020	n/a	yes	Tempe, AZ\|Scottsdale, AZ	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Dec 3, 2025	Feb 13, 2026	no	Tempe, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	n/a	Feb 13, 2026	n/a	n/a	Departure no registered destination	Departure
U••• I••••••••• S••••••• C••••••	U••• B•••••• A•••••••• L••	Mar 4, 2020	Feb 28, 2020	-5

Relationships

Registered with (7)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 28, 2020 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Dec 3, 2025 to Feb 13, 2026factForm ADV
→ U••• I••••••••• S••••••• C••••••Registered adviserregistration: previous registration
Jan 8, 2018 to Mar 4, 2020factForm ADV
→ U••• F•••••••• P••••••• S•••••••

Dated events

Occurred
Feb 13, 2026
Advisor departed, no destination yet
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1437849a-f12a-685f-932f-e412868f594d
First observed: Jan 9, 2007
Last observed: Sep 15, 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.