DFX Intelligence

F•••• A•••••• V•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

F•••• A•••••• V•••••••••

Advisor at U• C•••••• G••••• W••••• M••••••••• L••

SAN FRANCISCO, CA

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:548bd942-a37a-f984-542a-b0952f6884d7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2002 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• C•••••• G••••• W••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Feb 5, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U• C•••••• G••••• W••••• M••••••••• L••	State registered	Mar 28, 2019	n/a	yes	SAN FRANCISCO, CA	Current employment
U• C•••••• G••••• W••••• M••••••••• L••	n/a	Dec 27, 2016	Aug 24, 2019	no	San Francisco, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U• C•••••• G••••• W••••• M••••••••• L••	U• C•••••• G••••• W••••• M••••••••• L••	Aug 24, 2019	Mar 28, 2019	-149	Firm change after gap	Other
S•••••• N••••••• • C••••••• I•••••••••	U• C•••••• G••••• W••••• M••••••••• L••	Oct 10, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
284435:299885:CA:2019-08-24	Aug 24, 2019	Mar 28, 2019	SAN FRANCISCO, CA	Firm change after gap

Relationships

Registered with (6)

→ U• C•••••• G••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Mar 28, 2019 to presentfactForm ADV
→ U• C•••••• G••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 27, 2016 to Aug 24, 2019factForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Nov 23, 2015 to Oct 10, 2016factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:548bd942-a37a-f984-542a-b0952f6884d7
First observed: Jul 30, 2002
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.