DFX Intelligence

I••••• P••••••• R•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

I••••• P••••••• R•••••••

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

CARMEL, CA

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Search this name across graphsid dfx:ria:15a7723c-f438-3376-ff45-ea14b5b32b67

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 29, 2002 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 28, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Aug 31, 2017	n/a	yes	CARMEL, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Mar 4, 2015	Mar 21, 2017	no	SAN DIEGO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• R••••••••• G••••• L••	U•• F•••••••• S••••••• I•••	Sep 29, 2015	Mar 4, 2015	-209	Firm change after gap	Other
F•••• C•••••• F•••••••• P•••••••• I•••	T•• R••••••••• G••••• L••	Nov 12, 2014	Jan 16, 2015

Relationships

Registered with (5)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Mar 4, 2015 to Mar 21, 2017factForm ADV
→ T•• R••••••••• G••••• L••Registered adviserregistration: previous registration
Jan 16, 2015 to Sep 29, 2015factForm ADV
→ F•••• C•••••• F•••••••• P•••••••• I•••Registered adviserregistration: previous registration
Aug 28, 2014 to Nov 12, 2014factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15a7723c-f438-3376-ff45-ea14b5b32b67
First observed: Jan 29, 2002
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.