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D••••• P•••••• W••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

D••••• P•••••• W••••

Advisor at U••• B•••••• A•••••••• L••

Newport Beach, CA

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Search this name across graphsid dfx:ria:2b8c9089-b91b-7d99-83e4-1a85383559e7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 9, 2007 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 6, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Newport Beach, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jun 2, 2023	Feb 13, 2026	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	U••• B•••••• A•••••••• L••	Feb 13, 2026	Feb 13, 2026	0	Bulk transfer	Ibd to ibd
U••• B•••••• A•••••••• L••	U••• B•••••• I••••••••• I•••	Jun 1, 2023

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
14455:17868:CA:2023-05-31	Jun 1, 2023	Jun 2, 2023	NEWPORT BEACH, CA	Firm change

Relationships

Registered with (4)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: previous registration
Mar 17, 2014 to Jun 1, 2023factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jun 2, 2023 to Feb 13, 2026factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 3, 2011 to Jul 22, 2013factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviser

Dated events

Occurred
Jun 1, 2023
Advisor changed firm
D••••• P•••••• W•••• left U••• B•••••• A•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-06-02)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2b8c9089-b91b-7d99-83e4-1a85383559e7
First observed: Apr 9, 2007
Last observed: Sep 14, 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.