DFX Intelligence

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

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

A••••• T••• T•••

Advisor at U••• B•••••• A•••••••• L••

Huntington Beach, CA | Westminster, CA

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Search this name across graphsid dfx:ria:18420c07-ba88-f5e8-6bbd-4a58dac1eee0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 30, 1999 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••• B•••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 11, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 21derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Jan 20, 2005	n/a	yes	Huntington Beach, CA\|Westminster, CA	Current employment
A••••••••• A•••••• S•••••••• I•••	n/a	Oct 31, 2003	Jan 21, 2005	no	IRVINE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• A•••••• S•••••••• I•••	U••• B•••••• A•••••••• L••	Jan 21, 2005	Jan 20, 2005	-1	Firm change	Other
M••••• S•••••• D• I•••	A••••••••• A•••••• S•••••••• I•••	Nov 26, 2002	Oct 31, 2003

Relationships

Registered with (3)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Jan 20, 2005 to presentfactForm ADV
→ A••••••••• A•••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 31, 2003 to Jan 21, 2005factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
Nov 30, 1999 to Nov 26, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:18420c07-ba88-f5e8-6bbd-4a58dac1eee0
First observed: Nov 30, 1999
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.