DFX Intelligence

Data Factory

S••••• X•••••••• S••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

S••••• X•••••••• S••

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

SAN FRANCISCO, CA | Pleasanton , CA | Pebble Beach, 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:62013f9c-9e77-c502-231b-2055238c2c22

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 26, 2002 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 18, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Jan 1, 2010	n/a	yes	SAN FRANCISCO, CA\|Pebble Beach, CA\|Pleasanton , CA	Current employment
U•• I••••••••• I•••	n/a	May 12, 2006	Jan 1, 2010	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U•• I••••••••• I•••	U•• F•••••••• S••••••• I•••	Jan 1, 2010	Jan 1, 2010	0	Bulk transfer	Other
C••••• S••••• S••••••••• •••• L••	U•• I••••••••• I•••	May 26, 2006

Relationships

Registered with (4)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Jan 1, 2010 to presentfactForm ADV
→ U•• I••••••••• I•••Registered adviserregistration: previous registration
May 12, 2006 to Jan 1, 2010factForm ADV
→ C••••• S••••• S••••••••• •••• L••Registered adviserregistration: previous registration
Jan 17, 2003 to May 26, 2006factForm ADV
→ P••••••• L••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:62013f9c-9e77-c502-231b-2055238c2c22
First observed: Jun 26, 2002
Last observed: Sep 15, 2026 6 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.