DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

S••••• M••••••••

Advisor at U••• B•••••• A•••••••• L••

Los Angeles, CA

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Search this name across graphsid dfx:ria:af0778ce-1f5a-a21d-9927-603069d9bb9b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 25, 2021 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: Jul 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom 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	Los Angeles, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jul 11, 2022	Feb 13, 2026	no	Los Angeles, CA\|Glendale, CA\|Burbank, CA\|Los Angeles, 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
W•••• F•••• A•••••••	U••• B•••••• I••••••••• I•••	Jul 7, 2022	Jul 11, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:17868:CA:2022-06-23	Jul 7, 2022	Jul 11, 2022	EL SEGUNDO, 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
Jul 11, 2022 to Feb 13, 2026factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 25, 2021 to Jul 7, 2022factForm ADV

Dated events

Occurred
Jul 7, 2022
Advisor changed firm
S••••• M•••••••• left W•••• F•••• A••••••• for U••• B•••••• I••••••••• I••• (registered 2022-07-11)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:af0778ce-1f5a-a21d-9927-603069d9bb9b
First observed: Jun 25, 2021
Last observed: Sep 14, 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.