DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)25 years in industry

D•••••• F••••• S•••••

Advisor at U••• B•••••• A•••••••• L••

Torrance, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 29, 2004 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: Jul 27, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Aug 5, 2009	n/a	yes	Torrance, CA\|Torrance, CA	Current employment
C•••• I••••••••• S••••••• C••••	Former SEC adviser	May 2, 2009	Jul 31, 2009	no	TORRANCE, CA\|MANHATTAN BEACH, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• I••••••••• S••••••• C••••	U••• B•••••• A•••••••• L••	Jul 31, 2009	Aug 5, 2009	5	Firm change	Other
W••• I••••••••• I•••	C•••• I••••••••• S••••••• C••••	May 2, 2009	May 2, 2009

Relationships

Registered with (4)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Aug 5, 2009 to presentfactForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
May 2, 2009 to Jul 31, 2009factForm ADV
→ W••• I••••••••• I•••Registered adviserregistration: previous registration
Dec 3, 2004 to May 2, 2009factForm ADV
→ C••••••• I••••••••• S•••••••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 29, 2004
Last observed: Sep 14, 2026 10 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.