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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

A••••• L••••••• B••••••••

Advisor at U••• I••••••••• S••••••• C••••••

SAN ANTONIO, TX

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Search this name across graphsid dfx:ria:d1b538b2-68e5-9395-911c-4575630befdc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 31, 2003 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••• I••••••••• S••••••• C••••••
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 21, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 8derivedfrom 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••• I••••••••• S••••••• C••••••	No RAUM reported	Jan 8, 2018	n/a	yes	SAN ANTONIO, TX\|SAN ANTONIO, TX	Current employment
U••• F•••••••• P••••••• S•••••••	Former SEC adviser	Mar 14, 2006	Jan 8, 2018	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
U••• F•••••••• P••••••• S•••••••	U••• I••••••••• S••••••• C••••••	Jan 8, 2018	Jan 8, 2018	0	Bulk transfer	Other
T• A••••••••• I•••	U••• F•••••••• P••••••• S•••••••	Feb 1, 2006

Relationships

Registered with (3)

→ U••• I••••••••• S••••••• C••••••Registered adviserregistration: current employment
Jan 8, 2018 to presentfactForm ADV
→ U••• F•••••••• P••••••• S•••••••Registered adviserregistration: previous registration
Mar 14, 2006 to Jan 8, 2018factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Jul 31, 2003 to Feb 1, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d1b538b2-68e5-9395-911c-4575630befdc
First observed: Jul 31, 2003
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.