DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

S••••• D•••• A•••••

Advisor at U••• B•••••• A•••••••• L••

Montebello, CA | Los Angeles, CA

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Search this name across graphsid dfx:ria:38dd2b79-6690-653d-40a5-cfd289c5826a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 23, 2006 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•••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 28, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Aug 10, 2009	n/a	yes	Los Angeles, CA\|Los Angeles, CA\|Montebello, CA	Current employment
W••• I••••••••• I•••	n/a	Feb 23, 2006	Sep 24, 2008	no	VENICE, CA\|MARINA DEL REY, CA\|CULVER CITY, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|CULVER CITY, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••• I••••••••• I•••	U••• B•••••• A•••••••• L••	Sep 24, 2008	Aug 10, 2009	320	Firm change	Other

Relationships

Registered with (2)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Aug 10, 2009 to presentfactForm ADV
→ W••• I••••••••• I•••Registered adviserregistration: previous registration
Feb 23, 2006 to Sep 24, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38dd2b79-6690-653d-40a5-cfd289c5826a
First observed: Feb 23, 2006
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.