DFX Intelligence

S•••• M••••• J•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor17 years in industry

S•••• M••••• J•••••

Advisor at U••••• A•••••• G••••

Alexandria, VA | CINCINNATI, OH

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:2f81277d-4363-5012-9511-1a040c102608

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: May 20, 2009 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••••• A•••••• G••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 19, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• A•••••• G••••	I•••••••••_WEALTH	Aug 27, 2024	n/a	yes	Alexandria, VA\|CINCINNATI, OH	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 6, 2024	Aug 8, 2024	no	ALEXANDRIA, VA\|SAN DIEGO, CA\|Alexandria, VA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	U••••• A•••••• G••••	Aug 8, 2024	Aug 27, 2024	19	Firm change	Ibd to RIA
M••••••• I••••••••• N•••••• I•••	L•• F•••••••• L••	May 9, 2024	May 6, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
17587:6413:VA:2024-05-07	May 9, 2024	May 6, 2024	ALEXANDRIA, VA	Firm change

Relationships

Registered with (7)

→ U••••• A•••••• G••••Registered adviserregistration: current employment
Aug 27, 2024 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 6, 2024 to Aug 8, 2024factForm ADV
→ M••••••• I••••••••• N•••••• I•••Registered adviserregistration: previous registration
Mar 1, 2022 to May 9, 2024factForm ADV
→ T••••• A••••••• S•••••••• I•••

Dated events

Occurred
Aug 8, 2024
A•••••• firm change
S•••• M••••• J••••• left L•• F•••••••• L•• for U••••• A•••••• G•••• (registered 2024-08-27)
Form ADVobserved 7 days ago
Occurred
May 9, 2024
A•••••• firm change
S•••• M••••• J••••• left M••••••• I••••••••• N•••••• I••• for L•• F•••••••• L•• (registered 2024-05-06)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
A•••••• firm change
S•••• M••••• J••••• left T••••• A••••••• S•••••••• I••• for M••••••• I••••••••• N•••••• I••• (registered 2022-03-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f81277d-4363-5012-9511-1a040c102608
First observed: May 20, 2009
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.