DFX Intelligence

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

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

E••• M•••••• M•••••••

Advisor at U••• B•••••• A•••••••• L••

Omaha, NE | Bellevue, NE

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:3cdab19e-13b1-1a19-5300-6c817afc55b5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jul 31, 2014 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: Jan 3, 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: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Bellevue, NE\|Omaha, NE\|Omaha, NE\|Omaha, NE	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Nov 28, 2023	Feb 13, 2026	no	SAINT PAUL, MN\|Omaha, NE\|Elkhorn, NE\|Omaha, NE\|Omaha, NE\|Bellevue, NE\|Omaha, NE\|Omaha, NE

Moves

••• Locked

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
G•••••••• W••••• P•••••••	U••• B•••••• I••••••••• I•••	Nov 16, 2023	Nov 28, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
286071:250787:NE:2022-03-31	Mar 31, 2022	Mar 2, 2022	OMAHA, NE	Firm change

Relationships

Registered with (5)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Nov 28, 2023 to Feb 13, 2026factForm ADV
→ G•••••••• W••••• P•••••••Registered adviserregistration: previous registration
Mar 2, 2022 to Nov 16, 2023factForm ADV
→ S••••••••• A•••••• G••••• L••

Dated events

Occurred
Nov 16, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2022
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3cdab19e-13b1-1a19-5300-6c817afc55b5
First observed: Jul 31, 2014
Last observed: Sep 15, 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.