R••• M••••

Advisor at U••• B•••••• A•••••••• L••

Waukee, IA | Des Moines, IA

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:23bbb7a9-64e4-f4ea-0d86-b7938d52f8f3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Oct 11, 2022 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: May 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Aug 3, 2026	n/a	yes	Des Moines, IA\|Des Moines, IA\|Waukee, IA\|Des Moines, IA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jan 5, 2024	Aug 5, 2026	no	IOWA CITY, IA\|West Des Moines, IA\|MARSHALLTOWN, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	U••• B•••••• A•••••••• L••	Aug 5, 2026	Aug 3, 2026	-2	Firm change	Ibd to ibd
H••••• I••••••••• M••••••••• L••	A••••••••• F•••••••• S•••••••• L••	Oct 30, 2023	Jan 5, 2024

Relationships

Registered with (5)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Aug 3, 2026 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jan 5, 2024 to Aug 5, 2026factForm ADV
→ H••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 10, 2023 to Oct 30, 2023factForm ADV
→ P•••••••• M•••••• L••

Dated events

Occurred
Aug 5, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 30, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 21, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 2, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23bbb7a9-64e4-f4ea-0d86-b7938d52f8f3
First observed: Oct 11, 2022
Last observed: Sep 15, 2026 7 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.