DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

S•••• S•••••••••

Advisor at U••• B•••••• A•••••••• L••

Beverly Hills, CA

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Search this name across graphsid dfx:ria:bf7248d3-dda1-30c9-ebee-93f36f613ad8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Nov 21, 2024 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 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom 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 20, 2026	n/a	yes	Beverly Hills, CA	Current employment
R•• C•••••• M••••••• L••	National bd RIA	Mar 12, 2025	Jul 2, 2026	no	Santa Monica, CA\|BEVERLY HILLS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• C•••••• M••••••• L••	U••• B•••••• A•••••••• L••	Jul 2, 2026	Jul 20, 2026	18	Firm change	Ibd to ibd
R•• S••••••••• I•••	R•• C•••••• M••••••• L••	Mar 12, 2025	Mar 12, 2025

Relationships

Registered with (3)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Jul 20, 2026 to presentfactForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Mar 12, 2025 to Jul 2, 2026factForm ADV
→ R•• S••••••••• I•••Registered adviserregistration: previous registration
Nov 21, 2024 to Mar 12, 2025factForm ADV

Dated events

Occurred
Jul 2, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bf7248d3-dda1-30c9-ebee-93f36f613ad8
First observed: Nov 21, 2024
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.