DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

G•••••• R••• M•••••••

Advisor at U••• B•••••• A•••••••• L••

Roseburg, OR

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jul 18, 2016 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: Apr 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Roseburg, OR	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Oct 27, 2023	Feb 13, 2026	no	Roseburg, OR\|Roseburg, OR

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	U••• B•••••• A•••••••• L••	Feb 13, 2026	Feb 13, 2026	0	Bulk transfer	Ibd to ibd
A••••••••• F•••••••• S•••••••• L••	F•••••• F•••••••• L••	Jan 8, 2021	Jun 7, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
313969:17868:TX:2021-12-31	Dec 31, 2021	Oct 27, 2023	CROWLEY, TX	Firm change after gap

Relationships

Registered with (4)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Oct 27, 2023 to Feb 13, 2026factForm ADV
→ F•••••• F•••••••• L••Registered adviserregistration: previous registration
Jun 7, 2021 to Dec 31, 2021factForm ADV
→ A••••••••• F•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 18, 2016
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.