DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

S•••••• M•••• M••••

Advisor at U••• B•••••• A•••••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Jul 2, 2020 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: Nov 1, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom 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	Brea, CA\|Saint Paul, MN\|Yorba Linda, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jan 14, 2026	Feb 13, 2026	no	Brea, CA\|Gresham, OR

Moves

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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
C••••••• P••••••• I••••••••• A•••••••• L••	C••••• A•••••• N••••••• L••	Jan 9, 2026	Feb 4, 2021

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
Jan 14, 2026 to Feb 13, 2026factForm ADV
→ C••••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 2, 2020 to Jan 9, 2026factForm ADV
→ C••••• I••••••••• A••••••• L••

Dated events

Order

Occurred
9 Jan 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
15 Dec 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
9 Dec 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 2, 2020
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.