DFX Intelligence

N••• W•••••• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

N••• W•••••• T•••••

Advisor at U•• A•••• M••••••••• ••••••••• L••

NEW YORK, NY | Los Angeles, CA

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Search this name across graphsid dfx:ria:c9b19e25-b14b-4e10-d93c-49f01ed12a03

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 5, 2006 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•• A•••• M••••••••• ••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Feb 27, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• A•••• M••••••••• ••••••••• L••	Mixed wealth	Aug 26, 2020	n/a	yes	NEW YORK, NY\|Los Angeles, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Sep 5, 2006	Aug 10, 2020	no	LOS ANGELES, CA\|WEEHAWKEN, NJ\|WEEHAWKEN, NJ\|WEEHAWKEN, NJ\|LOS ANGELES, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	U•• A•••• M••••••••• ••••••••• L••	Aug 10, 2020	Aug 26, 2020	16	Firm change	Other

Relationships

Registered with (2)

→ U•• A•••• M••••••••• ••••••••• L••Registered adviserregistration: current employment
Aug 26, 2020 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Sep 5, 2006 to Aug 10, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c9b19e25-b14b-4e10-d93c-49f01ed12a03
First observed: Sep 5, 2006
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.