DFX Intelligence

U•••• W••••• A••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor26 years in industry

U•••• W••••• A••••

Advisor at D•••••••• A••••••• S•••••••• L••

Gillbert, AZ | SOUTH JORDAN, UT

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 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 17, 2011 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: D•••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 3, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom 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
D•••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jan 2, 2026	n/a	yes	Gillbert, AZ\|SOUTH JORDAN, UT	Current employment
D••••••	Independent wealth	Sep 17, 2012	Jan 2, 2026	no	PHOENIX, AZ\|Newport Beach, CA\|ORANGE, CA\|GILBERT, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••••	D•••••••• A••••••• S•••••••• L••	Jan 2, 2026	Jan 2, 2026	0	Firm change	RIA to ibd
W••••••• A•••• M••••••••• L••	D••••••	Aug 29, 2012	Sep 17, 2012

Relationships

Registered with (4)

→ D•••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 2, 2026 to presentfactForm ADV
→ D••••••Registered adviserregistration: previous registration
Sep 17, 2012 to Jan 2, 2026factForm ADV
→ W••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jun 14, 2012 to Aug 29, 2012factForm ADV
→ I•••• F••• A•••••••• I•••Registered adviser

Dated events

Order

Occurred
2 Jan 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 17, 2011
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.