DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

R•••••• V•••• V•• M••••

Advisor at U••• B•••••• A•••••••• L••

Fort Lauderdale, FL | Saint Paul, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 10, 2011 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: Aug 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: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 18, 2026	n/a	yes	Fort Lauderdale, FL\|Saint Paul, MN	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Feb 24, 2025	Feb 14, 2026	no	Saint Paul, MN\|Coral Gables, FL\|SPOKANE, WA\|Sioux Falls, SD\|Fort Lauderdale, FL\|Fort Lauderdale, FL\|Sioux Falls, SD\|Ft Lauderdale, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	U••• B•••••• A•••••••• L••	Feb 14, 2026	Feb 18, 2026	4	Bulk transfer	Ibd to ibd
J••• M••••• P•••••• W••••• A••••••• L••	U••• B•••••• I••••••••• I•••	Jun 22, 2023	Feb 24, 2025

Relationships

Registered with (4)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 18, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Feb 24, 2025 to Feb 14, 2026factForm ADV
→ J••• M••••• P•••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Oct 19, 2022 to Jun 22, 2023factForm ADV
→ M••••• S••••••

Dated events

Order

Occurred
22 Jun 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
14 Oct 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 10, 2011
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.