DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

A•••• J••• M••••••••

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

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:7e930ec3-afc4-5749-f093-a7f9566102f5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 1, 2002 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•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jun 28, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Apr 4, 2016	n/a	yes	SAN FRANCISCO, CA	Current employment
C••••• S••••• S••••••••• •••• L••	Former SEC adviser	Jan 17, 2003	Apr 19, 2016	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• S••••• S••••••••• •••• L••	U•• F•••••••• S••••••• I•••	Apr 19, 2016	Apr 4, 2016	-15	Firm change	Other
P••••••• L••	C••••• S••••• S••••••••• •••• L••	Jan 17, 2003	Jan 17, 2003

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Apr 4, 2016 to presentfactForm ADV
→ C••••• S••••• S••••••••• •••• L••Registered adviserregistration: previous registration
Jan 17, 2003 to Apr 19, 2016factForm ADV
→ P••••••• L••Registered adviserregistration: previous registration
Aug 1, 2002 to Jan 17, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7e930ec3-afc4-5749-f093-a7f9566102f5
First observed: Aug 1, 2002
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.