DFX Intelligence

A••••• A••••••• V•••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

A••••• A••••••• V•••• C••••••

Advisor at U••• B•••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:ac973652-0855-8445-3922-6c83d31ba6ab

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 30, 2022 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: Sep 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	San Rafael, CA\|Benicia, CA\|Vallejo, CA\|Santa Rosa, CA\|Rohnert Park, CA\|San Rafael, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Oct 5, 2023	Feb 13, 2026	no	SAINT PAUL, MN\|Rohnert Park, CA\|Santa Rosa, CA\|San Rafael, CA\|Vallejo, CA\|Benicia, CA\|San Rafael, CA\|Napa, CA

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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	U••• B•••••• I••••••••• I•••	Sep 26, 2023	Oct 5, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:17868:CA:2023-09-21	Sep 26, 2023	Oct 5, 2023	SAN RAFAEL, CA	Firm change

Relationships

Registered with (3)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Oct 5, 2023 to Feb 13, 2026factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 30, 2022 to Sep 26, 2023factForm ADV

Dated events

Occurred
Sep 26, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac973652-0855-8445-3922-6c83d31ba6ab
First observed: Sep 30, 2022
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.