DFX Intelligence

P••••• E••••• Y•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

P••••• E••••• Y•••••

Advisor at U••• B•••••• A•••••••• L••

Ballwin, MO | Chesterfield, MO

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Search this name across graphsid dfx:ria:981af845-1648-1357-77bc-c2be7ef631af

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 16, 2004 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: Oct 5, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Ballwin, MO\|Chesterfield, MO	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Sep 20, 2013	Feb 13, 2026	no	SAINT PAUL, MN\|Ladue, MO\|Webster Groves, MO\|Crestwood, MO\|Ballwin, MO\|Chesterfield, MO\|Ballwin, MO

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
P•• W••••• M•••••••••	U••• B•••••• I••••••••• I•••	Sep 24, 2013	Sep 20, 2013

Relationships

Registered with (6)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 20, 2013 to Feb 13, 2026factForm ADV
→ P•• W••••• M•••••••••Registered adviserregistration: previous registration
Nov 13, 2009 to Sep 24, 2013factForm ADV
→ N•••••• I••••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:981af845-1648-1357-77bc-c2be7ef631af
First observed: Aug 16, 2004
Last observed: Sep 15, 2026 7 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.