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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

C• O••••••• A•••••

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

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Search this name across graphsid dfx:ria:ae5984d6-a95d-41a4-4af7-7951ea19864d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 1, 2009 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 30, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Jun 11, 2024	n/a	yes	Lake Oswego, OR\|Portland, OR\|EUGENE, OR\|MEDFORD, OR\|BEND, OR\|Bellevue, WA\|LAKE OSWEGO, OR\|PORTLAND, OR	Current employment
A••••• A•••• M••••••••• U•• I•••	Former SEC adviser	Jan 4, 2021	Jun 4, 2024

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
A••••• A•••• M••••••••• U•• I•••	U•• F•••••••• S••••••• I•••	Jun 4, 2024	Jun 11, 2024	7	Firm change	Other
A••••• P•••••• I••••••••• A•••• M••••••••• I•••	A••••• A•••• M••••••••• U•• I•••	Dec 31, 2020

Relationships

Registered with (5)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Jun 11, 2024 to presentfactForm ADV
→ A••••• A•••• M••••••••• U•• I•••Registered adviserregistration: previous registration
Jan 4, 2021 to Jun 4, 2024factForm ADV
→ A••••• P•••••• I••••••••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Jun 8, 2012 to Dec 31, 2020factForm ADV
→ W•• I••••••••• L••

Dated events

Occurred
Jun 4, 2024
Advisor changed firm
C• O••••••• A••••• left A••••• A•••• M••••••••• U•• I••• for U•• F•••••••• S••••••• I••• (registered 2024-06-11)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae5984d6-a95d-41a4-4af7-7951ea19864d
First observed: Sep 1, 2009
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.