DFX Intelligence

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

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

L••• R• L•••••••••

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

••• Locked

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Search this name across graphsid dfx:ria:706b17c1-f946-e940-407c-c09c97f302b1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 4, 2006 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 public••• Locked
Industry start: Feb 7, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Jul 6, 2022	n/a	yes	WEEHAWKEN, NJ\|Birmingham, MI\|BIRMINGHAM, MI	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Jun 9, 2022	no	PURCHASE, NY\|TROY, MI\|Chicago, IL\|Birmingham, MI\|Bloomfield Hills, MI\|Troy, MI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	U•• F•••••••• S••••••• I•••	Jun 9, 2022	Jul 6, 2022	27	Firm change	Wirehouse to wirehouse
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Jul 6, 2022 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Jun 9, 2022factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 4, 2006 to Jun 1, 2009factForm ADV

Dated events

Occurred
Jun 9, 2022
Advisor changed firm
L••• R• L••••••••• left M••••• S•••••• for U•• F•••••••• S••••••• I••• (registered 2022-07-06)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:706b17c1-f946-e940-407c-c09c97f302b1
First observed: May 4, 2006
Last observed: Sep 15, 2026 7 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.