DFX Intelligence

S••••• X••• Y•• H••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

S••••• X••• Y•• H••••

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

SAN FRANCISCO, CA | Fremont, CA

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Search this name across graphsid dfx:ria:247a4ae8-76cb-dd26-f2a8-122b06fcf426

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 5, 2001 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•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Sep 28, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Mar 21, 2016	n/a	yes	SAN FRANCISCO, CA\|Fremont, CA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Nov 5, 2001	Mar 22, 2016	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|NEW YORK, NY\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	U•• F•••••••• S••••••• I•••	Mar 22, 2016	Mar 21, 2016	-1	Firm change	Wirehouse to wirehouse

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:8174:CA:2016-02-05	Mar 22, 2016	Mar 21, 2016	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (2)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Mar 21, 2016 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 5, 2001 to Mar 22, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:247a4ae8-76cb-dd26-f2a8-122b06fcf426
First observed: Nov 5, 2001
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.