DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner40 years in industry

R••• A••••• N•••••

Advisor at U•••• W••••• M••••••••• O• U••

HENDERSON, NV

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Search this name across graphsid dfx:ria:c84986c5-0a70-41c1-0a92-471f7b0e6786

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 19, 2000 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•••• W••••• M••••••••• O• U••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 27, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•••• W••••• M••••••••• O• U••	Independent wealth	May 15, 2017	n/a	yes	HENDERSON, NV	Current employment
C•••••• W••••• M•••••••••	Former SEC adviser	Jun 18, 2012	Jun 30, 2017	no	EL SEGUNDO, CA\|SAN JOSE, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• W••••• M•••••••••	U•••• W••••• M••••••••• O• U••	Jun 30, 2017	May 15, 2017	-46	Firm change after gap	Other
M••••• S••••••	C•••••• W••••• M•••••••••	Jul 13, 2012	Jun 18, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
141253:285633:CA:2017-06-30	Jun 30, 2017	May 15, 2017	SAN JOSE, CA	Firm change after gap

Relationships

Registered with (4)

→ U•••• W••••• M••••••••• O• U••Registered adviserregistration: current employment
May 15, 2017 to presentfactForm ADV
→ C•••••• W••••• M•••••••••Registered adviserregistration: previous registration
Jun 18, 2012 to Jun 30, 2017factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Jul 13, 2012factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c84986c5-0a70-41c1-0a92-471f7b0e6786
First observed: Sep 19, 2000
Last observed: Sep 14, 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.