DFX Intelligence

N••••••• R••• P•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

N••••••• R••• P•••••

Advisor at U•• F•••••••• S••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:54e10364-4695-fb6c-53f0-dbc3ea45dc96

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

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 13, 2016 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•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Nov 18, 2019	n/a	yes	Walnut Creek, CA\|WALNUT CREEK, CA\|Palo Alto, CA	Current employment
O•••••• P•••••••	Independent wealth	Nov 8, 2017	Nov 1, 2019	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••••• P•••••••	U•• F•••••••• S••••••• I•••	Nov 1, 2019	Nov 18, 2019	17	Firm change	RIA to wirehouse
B•••••• • J••••••••• L••	O•••••• P•••••••	Nov 10, 2017	Nov 8, 2017

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Nov 18, 2019 to presentfactForm ADV
→ O•••••• P•••••••Registered adviserregistration: previous registration
Nov 8, 2017 to Nov 1, 2019factForm ADV
→ B•••••• • J••••••••• L••Registered adviserregistration: previous registration
Aug 13, 2016 to Nov 10, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:54e10364-4695-fb6c-53f0-dbc3ea45dc96
First observed: Aug 13, 2016
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.