DFX Intelligence

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

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S••••• M••••• S•••••••••

Advisor · Advisor at U•• F•••••••• S••••••• I•••dual registered (broker-dealer)12 years in industry· LOS ANGELES, CA

As of 2026-09-25 · this record's last observation

Relationships: 2
Dated events: 1
Observed: Sep 1, 2021 to Sep 25, 2026

As of 2026-09-25 · this record's last observation

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 graphs

Data as of Sep 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 26, 2026, 2:55 AM UTC and rebuilt at most every 15 minutes.

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: Apr 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Aug 28, 2026	n/a	yes	LOS ANGELES, CA	Current employment
A••••••••• L•••	Other adviser	Sep 1, 2021	Sep 24, 2026	no	Los Angeles, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• L•••	U•• F•••••••• S••••••• I•••	Sep 24, 2026	Aug 28, 2026	-27	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
108477:8174:CA:2026-09-23	Sep 24, 2026	Aug 28, 2026	LOS ANGELES, CA	Firm change

Relationships

Registered with (2)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Aug 28, 2026 to presentfactForm ADV
→ A••••••••• L•••Registered adviserregistration: previous registration
Sep 1, 2021 to Sep 24, 2026factForm ADV

Dated events

Order

Occurred
24 Sep 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 1, 2021
Last observed: Sep 25, 2026 26 h 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.