DFX Intelligence

F•••••• B••••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

F•••••• B••••• W•••••

Advisor at U••• B•••••• A•••••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 11, 2015 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 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Anderson, CA\|Redding, CA\|Red Bluff, CA\|Eureka, CA\|Fortuna, CA\|Eureka, CA\|Burney, CA\|Redding, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Sep 14, 2017	Feb 13, 2026	no	REDDING, CA\|Redding, CA\|Anderson, CA\|Redding, CA\|Red Bluff, CA\|Burney, CA\|Fortuna, CA\|FERNDALE, CA\|Arcata, CA\|Crescent City, CA\|Eureka, CA\|Eureka, CA\|Susanville, CA\|Chico, CA\|Oroville, CA\|Corning, CA\|Paradise, CA\|Willows, CA\|Yuba City, CA\|Williams, CA\|Chico, CA

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
W•••• C••••••• L••	U••• B•••••• I••••••••• I•••	Sep 8, 2017	Sep 14, 2017

Relationships

Registered with (4)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 14, 2017 to Feb 13, 2026factForm ADV
→ W•••• C••••••• L••Registered adviserregistration: previous registration
Jul 31, 2017 to Sep 8, 2017factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 11, 2015
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.