DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

E•••••••• R••• M••••••••

Advisor at U••• B•••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:af62fa07-7146-24de-f52e-27a9f1e7e67f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 28, 2005 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: Feb 12, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom 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	Jul 24, 2026	n/a	yes	Fresno, CA\|Coalinga, CA\|Clovis, CA\|Porterville, CA\|Madera, CA\|Selma, CA	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Jun 4, 2024	Jun 30, 2026	no	Fresno, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	U••• B•••••• A•••••••• L••	Jun 30, 2026	Jul 24, 2026	24	Firm change	Ibd to ibd
C•••••••• G••••• M•••••• I•••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	May 18, 2007	Jun 4, 2024

Relationships

Registered with (3)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Jul 24, 2026 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jun 4, 2024 to Jun 30, 2026factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Oct 28, 2005 to May 18, 2007factForm ADV

Dated events

Occurred
Jun 30, 2026
Advisor changed firm
E•••••••• R••• M•••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for U••• B•••••• A•••••••• L•• (registered 2026-07-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:af62fa07-7146-24de-f52e-27a9f1e7e67f
First observed: Oct 28, 2005
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.