DFX Intelligence

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

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

M••••• M•• B••••

Advisor at U••• B•••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:470ccb51-1e0b-a368-6d58-ec3a3b589380

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 4, 2022 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: 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: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Tacoma, WA\|Tacoma, WA\|Olympia, WA\|Tacoma, WA\|Hoquiam, WA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Feb 16, 2024	Feb 13, 2026	no	Tacoma, WA\|Tacoma, WA\|Hoquiam, WA\|Olympia, WA\|Tacoma, WA

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
C••• F•••••••• S•••••••• L•••	U••• B•••••• I••••••••• I•••	Feb 20, 2024	Feb 16, 2024

Relationships

Registered with (3)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Feb 16, 2024 to Feb 13, 2026factForm ADV
→ C••• F•••••••• S•••••••• L•••Registered adviserregistration: previous registration
Mar 4, 2022 to Feb 20, 2024factForm ADV

Dated events

Occurred
Feb 20, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:470ccb51-1e0b-a368-6d58-ec3a3b589380
First observed: Mar 4, 2022
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.