DFX Intelligence

E••• C•••••• H•••••: advisor on the ria / wealth management graph | DFX Data Factory

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

E••• C•••••• H•••••

Advisor at U••• B•••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:751da560-f4d1-a677-d039-b99e773a0e19

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 13, 2018 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••• B•••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 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: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Carson City, NV\|Elko, NV\|Winnemucca, NV\|Reno, NV\|Reno, NV\|Reno, NV\|Reno, NV\|Reno, NV	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Apr 3, 2019	Feb 13, 2026	no	Tahoe City, CA\|Reno, NV\|Truckee, CA\|SAINT PAUL, MN\|Reno, NV\|Reno, NV\|Reno, NV\|Sparks, NV\|Sparks, NV\|Tahoe City, CA\|Truckee, CA\|RENO, NV\|Colfax, CA\|Sparks, NV\|Reno, NV\|Reno, NV\|Susanville, CA\|Reno, NV\|S Lake Tahoe, CA\|Reno, NV\|Stateline, NV\|Susanville, CA\|Incline Village, NV\|Sparks, NV\|Sparks, NV\|Sparks, NV

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
F••••••• P••••••• A•• W•••••••• A•••••••	U••• B•••••• I••••••••• I•••	Mar 22, 2019	Apr 3, 2019

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
Apr 3, 2019 to Feb 13, 2026factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2018 to Mar 22, 2019factForm ADV
→ S•••••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:751da560-f4d1-a677-d039-b99e773a0e19
First observed: Mar 13, 2018
Last observed: Sep 15, 2026 8 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.