DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

A•••••• R••••• R•••••

Advisor at U••• B•••••• A•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:c0ed7395-4643-c490-4ea4-f1d02257c63c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 9, 2000 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 30, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom 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 13, 2026	n/a	yes	La Verne, CA\|Claremont, CA\|Montclair, CA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Mar 14, 2019	Feb 13, 2026	no	SAINT PAUL, MN\|ONTARIO, CA\|Ontario, CA\|ONTARIO, CA\|Montclair, CA\|Chino, CA\|Claremont, CA\|La Verne, CA\|Chino, 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
A••••••••• F•••••••• S•••••••• L••	U••• B•••••• I••••••••• I•••	Feb 6, 2019	Mar 14, 2019

Relationships

Registered with (3)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 9, 2000 to Jul 10, 2017factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Mar 14, 2019 to Feb 13, 2026factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jun 30, 2017 to Feb 6, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c0ed7395-4643-c490-4ea4-f1d02257c63c
First observed: Nov 9, 2000
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.