DFX Intelligence

M••••• V••••••• N•••••: 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)14 years in industry

M••••• V••••••• N•••••

Advisor at U••• B•••••• A•••••••• L••

Tampa, FL

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 graphsid dfx:ria:ba0be4de-f60d-5870-3a14-7e9220a21830

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 26, 2013 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: Aug 14, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom 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 17, 2026	n/a	yes	Tampa, FL	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Apr 30, 2025	Feb 14, 2026	no	SAINT PAUL, MN\|Tampa, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	U••• B•••••• A•••••••• L••	Feb 14, 2026	Feb 17, 2026	3	Bulk transfer	Ibd to ibd
W•••• F•••• A•••••••	U••• B•••••• I••••••••• I•••	Apr 28, 2025	Apr 30, 2025

Relationships

Registered with (4)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 17, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Apr 30, 2025 to Feb 14, 2026factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Apr 16, 2015 to Apr 28, 2025factForm ADV
→ M••••• S••••••

Dated events

Occurred
Apr 28, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba0be4de-f60d-5870-3a14-7e9220a21830
First observed: Nov 26, 2013
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.