DFX Intelligence

J••• F•••• B•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

J••• F•••• B•••••••

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

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:688f17a3-f20e-a80e-7c73-22c9e4e82250

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 24, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Feb 27, 2015	n/a	yes	WALNUT CREEK, CA	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Mar 11, 2015	no	HAYWARD, CA\|SONOMA, CA\|SONOMA, CA\|Pleasanton, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	U•• F•••••••• S••••••• I•••	Mar 11, 2015	Feb 27, 2015	-12	Firm change	Wirehouse to wirehouse
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:8174:CA:2015-03-11	Mar 11, 2015	Feb 27, 2015	PLEASANTON, CA	Firm change

Relationships

Registered with (4)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Feb 27, 2015 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Mar 11, 2015factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:688f17a3-f20e-a80e-7c73-22c9e4e82250
First observed: Jul 8, 1997
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.