DFX Intelligence

U•••• W••••• P•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

U•••• W••••• P•••••••

U•••• W••••• P••••••• LLC, CRD 316222

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:8fcec4fa-cd3d-addd-c79a-3b0489b36ffb

Data as of Jul 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 5
On other graphs: 0
Observed: Apr 29, 2024 to Jul 31, 2026
11 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $7.1M••• Locked
Discretionary RAUM: $7.1M
Private client RAUM: $7.1Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $3.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N••• P•••• K•••••••••	n/a	NEWPORT BEACH, CA	2	12	1	no
B•••••• L• R•••••	n/a	NEWPORT BEACH, CA	1	13

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• V••••••• C••	Member	C	yes	06/2024	Jul 25, 2024	Jul 25, 2024
M•••••••• J•••• T•••••	CHIEF COMPLIANCE OFFICER	Na	yes	06/2024	Jul 25, 2024	Jul 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• C•••••• L••	n/a	n/a	n/a	N	yes	n/a
U•••• C•••••• P•••••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 20, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	3	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$7.1M	$10.3M	-31.1%	n/a	n/a	2	3	0	0

Relationships

Registered with (4)

← B•••••• L• R•••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← N••• P•••• K•••••••••Advisorregistration: current employment
Jul 25, 2024 to presentfactForm ADV
← J• H••• O•Advisorregistration: previous registration
Nov 1, 2023 to Dec 16, 2024factForm ADV
← M•••••• A•••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 16, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 25, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 29, 2024
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8fcec4fa-cd3d-addd-c79a-3b0489b36ffb
First observed: Apr 29, 2024
Last observed: Jul 31, 2026 54 days ago
Source families: Federal regulator filings
3 registered feeds 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.