DFX Intelligence

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

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

M•••••• A•••• P••••••

Advisor at U••• B•••••• A•••••••• L••

Fresno, CA

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Search this name across graphsid dfx:ria:b5610edd-ac97-a1fc-f4af-c93423be6b07

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 6, 2015 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: May 18, 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: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Fresno, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jul 7, 2023	Feb 13, 2026	no	Saint Paul, MN\|Fresno, CA\|Sioux Falls, SD\|SPOKANE, WA\|Madera, 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
L•• F•••••••• L••	U••• B•••••• I••••••••• I•••	Apr 3, 2023	Jul 7, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
14455:6413:CA:2019-04-04	Apr 10, 2019	May 30, 2019	FRESNO, CA	Firm change

Relationships

Registered with (4)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: previous registration
Dec 20, 2016 to Apr 10, 2019factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jul 7, 2023 to Feb 13, 2026factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 30, 2019 to Apr 3, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Apr 3, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b5610edd-ac97-a1fc-f4af-c93423be6b07
First observed: Oct 6, 2015
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.