DFX Intelligence

G•••••• A•••• D•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

G•••••• A•••• D•••••

Advisor at U••••• B•••••••• S••••••• I••

••• Locked

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Search this name across graphsid dfx:ria:3198efc2-b4f5-4c68-7998-7b949c4584da

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 8, 2003 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••••• B•••••••• S••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 3, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• B•••••••• S••••••• I••	Bd affiliated wealth	Oct 27, 2015	n/a	yes	DUNBAR, WV\|BECKLEY, WV\|BECKLEY, WV\|RIPLEY, WV	Current employment
I•••••••• C•••••• A•••••••	Former SEC adviser	Feb 22, 2013	Oct 26, 2015	no	Lynnfield, MA\|LYNNFIELD, MA\|DUNBAR, WV\|LYNNFIELD, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•••••••• C•••••• A•••••••	U••••• B•••••••• S••••••• I••	Oct 26, 2015	Oct 27, 2015	1	Firm change	Other
V•••• F•••••••• A•••••••• I•••	I•••••••• C•••••• A•••••••	Feb 21, 2013	Feb 22, 2013

Relationships

Registered with (3)

→ U••••• B•••••••• S••••••• I••Registered adviserregistration: current employment
Oct 27, 2015 to presentfactForm ADV
→ I•••••••• C•••••• A•••••••Registered adviserregistration: previous registration
Feb 22, 2013 to Oct 26, 2015factForm ADV
→ V•••• F•••••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 8, 2003 to Feb 21, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3198efc2-b4f5-4c68-7998-7b949c4584da
First observed: Sep 8, 2003
Last observed: Sep 15, 2026 7 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.