DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

B•••• T••••• S••••••••

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

NEWPORT BEACH, CA | Laguna Niguel, CA

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 graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 20, 1998 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: Apr 9, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Aug 26, 2015	n/a	yes	NEWPORT BEACH, CA\|Laguna Niguel, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jul 26, 2006	Sep 1, 2015	no	LAGUNA BEACH, CA\|NEWPORT BEACH, CA\|MISSION VIEJO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	U•• F•••••••• S••••••• I•••	Sep 1, 2015	Aug 26, 2015	-6	Firm change	Wirehouse to wirehouse
C••••••• W••••• • C••	W•••• F•••• A•••••••	Aug 11, 2006	Jul 26, 2006

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:8174:CA:2015-09-01	Sep 1, 2015	Aug 26, 2015	MISSION VIEJO, CA	Firm change

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Aug 26, 2015 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 26, 2006 to Sep 1, 2015factForm ADV
→ C••••••• W••••• • C••Registered adviserregistration: previous registration
Jan 20, 1998 to Aug 11, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 20, 1998
Last observed: Sep 15, 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.