DFX Intelligence

G••••• E•••• F••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industryNot currently registered

G••••• E•••• F••••••

Advisor at U•••••• I••••••••• M••••••••• L•••••

Mill Valley, CA | SKOKIE, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 11, 2011 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•••••• I••••••••• M••••••••• L•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 19, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•••••• I••••••••• M••••••••• L•••••	Independent wealth	Nov 21, 2017	n/a	yes	Mill Valley, CA\|SKOKIE, IL	Current employment
R•••••••• S••••••• A•••••••	Former SEC adviser	Oct 12, 2015	Oct 17, 2016	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••••• S••••••• A•••••••	U•••••• I••••••••• M••••••••• L•••••	Oct 17, 2016	Nov 21, 2017	400	Firm change	Other
R••• C•••••• P•••••••• L••	R•••••••• S••••••• A•••••••	Sep 18, 2015	Oct 12, 2015

Relationships

Registered with (4)

→ U•••••• I••••••••• M••••••••• L•••••Registered adviserregistration: current employment
Nov 21, 2017 to presentfactForm ADV
→ R•••••••• S••••••• A•••••••Registered adviserregistration: previous registration
Oct 12, 2015 to Oct 17, 2016factForm ADV
→ R••• C•••••• P•••••••• L••Registered adviserregistration: previous registration
Jan 24, 2013 to Sep 18, 2015factForm ADV
→ A••••••• E•••••••• I•••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Only bookkeeping events name this entity; they are folded below.

Show 1 bookkeeping event

First seen by DFX
Sep 18, 2026
date not stated
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 11, 2011
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.