DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

M••••• M•••• S••••

Advisor at U••• B•••••• A•••••••• L••

Milwaukee, WI | Saint Paul, MN

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Search this name across graphsid dfx:ria:a80b6872-b6f8-cf4a-fc99-544c05a2ebfc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 19, 2012 to Sep 14, 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 15, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom 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	Saint Paul, MN\|Milwaukee, WI	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Nov 12, 2020	Feb 13, 2026	no	Milwaukee, WI\|Mequon, WI\|Milwaukee, WI\|Saint Paul, MN

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
A••••••••• I••••••••• S•••••••• I•••	U••• B•••••• I••••••••• I•••	Oct 1, 2020	Nov 12, 2020

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
Nov 12, 2020 to Feb 13, 2026factForm ADV
→ A••••••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 5, 2017 to Oct 1, 2020factForm ADV
→ B• C• Z•••••• A•• C••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a80b6872-b6f8-cf4a-fc99-544c05a2ebfc
First observed: Jan 19, 2012
Last observed: Sep 14, 2026 9 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.