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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

M••••• K•••

Advisor at U••• B•••••• A•••••••• L••

Irvine, CA | Tustin, CA

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Search this name across graphsid dfx:ria:cc519f75-08de-67b9-947f-6d950344f651

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2005 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 13, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	May 2, 2007	n/a	yes	Tustin, CA\|Irvine, CA	Current employment
P•••• S••••••••• L••	No RAUM reported	Feb 17, 2005	May 9, 2007	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• S••••••••• L••	U••• B•••••• A•••••••• L••	May 9, 2007	May 2, 2007	-7	Firm change	Other

Relationships

Registered with (2)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
May 2, 2007 to presentfactForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Feb 17, 2005 to May 9, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc519f75-08de-67b9-947f-6d950344f651
First observed: Feb 17, 2005
Last observed: Sep 15, 2026 6 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.