DFX Intelligence

L••• R•••• K••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

L••• R•••• K••••

Advisor at U••• B•••••• A•••••••• L••

St Louis, MO

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Search this name across graphsid dfx:ria:4f985240-1613-3412-542c-727fc8117d67

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2010 to Sep 14, 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, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom 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	St Louis, MO	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jul 20, 2022	Feb 13, 2026	no	St Louis, MO\|CLAYTON, MO\|Sioux Falls, SD\|St. Louis, MO\|SPOKANE, 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
S•••••• N••••••• • C••••••• I•••••••••	U••• B•••••• I••••••••• I•••	Dec 17, 2021	Jul 20, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
793:17868:MO:2021-12-03	Dec 17, 2021	Jul 20, 2022	ST LOUIS, MO	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
Jul 20, 2022 to Feb 13, 2026factForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Oct 4, 2019 to Dec 17, 2021factForm ADV
→ C••••••••• W••••• M••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4f985240-1613-3412-542c-727fc8117d67
First observed: Nov 15, 2010
Last observed: Sep 14, 2026 9 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.