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T•••••• S•••••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

T•••••• S•••••• C••••••

Advisor at U••• B•••••• A•••••••• L••

Los Angeles, CA | Santa Monica, CA | Century City, CA

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Search this name across graphsid dfx:ria:3b12991e-7ff3-cf14-4f4e-ff43674a88c3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 28, 2020 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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	Sep 8, 2026	n/a	yes	Los Angeles, CA\|Santa Monica, CA\|Santa Monica, CA\|Santa Monica, CA\|Century City, CA	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Feb 28, 2020	Sep 6, 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
J••• M••••• S••••••••• L••	U••• B•••••• A•••••••• L••	Sep 6, 2026	Sep 8, 2026	2	Firm change	Wirehouse to ibd

Relationships

Registered with (2)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Sep 8, 2026 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Feb 28, 2020 to Sep 6, 2026factForm ADV

Dated events

Occurred
Sep 6, 2026
Advisor changed firm
T•••••• S•••••• C•••••• left J••• M••••• S••••••••• L•• for U••• B•••••• A•••••••• L•• (registered 2026-09-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b12991e-7ff3-cf14-4f4e-ff43674a88c3
First observed: Feb 28, 2020
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.