DFX Intelligence

D•••••• A•• Q••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

D•••••• A•• Q••••

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

••• 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, 5:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Jun 4, 1997 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•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jun 4, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 23derivedfrom the current registration's begin date
Current registrations: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Mar 7, 2003	n/a	yes	ENCINO, CA\|Sherman Oaks, CA\|Reseda, CA	Current employment

Relationships

Registered with (1)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Mar 7, 2003 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 4, 1997
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.