DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

R•••• D••••• M•••••

Advisor at U••• B•••••• A•••••••• L••

Sacramento, CA

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Search this name across graphsid dfx:ria:5da955b0-f8e2-100f-1e37-6d7ce13e5505

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 7, 2000 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 7, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Sacramento, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Dec 22, 2025	Feb 13, 2026	no	Sacramento, CA	Previous registration

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
U••• B•••••• A•••••••• L••	U••• B•••••• I••••••••• I•••	Jun 1, 2023	Jun 2, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
14455:17868:CA:2023-05-31	Jun 1, 2023	Jun 2, 2023	SACRAMENTO, CA	Firm change

Relationships

Registered with (5)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: previous registration
May 7, 2013 to Jun 1, 2023factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Dec 22, 2025 to Feb 13, 2026factForm ADV
→ C••••• I••••••••• S••••••• L••Registered adviserregistration: previous registration
Apr 2, 2008 to Mar 22, 2013factForm ADV
→ W•••• F•••• I••••••••• L••

Dated events

Occurred
Jun 1, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5da955b0-f8e2-100f-1e37-6d7ce13e5505
First observed: Mar 7, 2000
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.