M••••• K••••••

Advisor at U••• B•••••• A•••••••• L••

Del Mar, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d344bde4-a2b3-4443-b39f-b76b7dc41173

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Feb 3, 2022 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••• B•••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Jul 8, 2026	n/a	yes	Del Mar, CA	Current employment
L•• E••••••••• L••	Bd affiliated wealth	Nov 14, 2024	Apr 1, 2026	no	IRVINE, CA\|SAN DIEGO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• E••••••••• L••	U••• B•••••• A•••••••• L••	Apr 1, 2026	Jul 8, 2026	98	Firm change	Ibd to ibd
P•••• S••••••••• L••	L•• E••••••••• L••	Nov 14, 2024	Nov 14, 2024

Relationships

Registered with (5)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Jul 8, 2026 to presentfactForm ADV
→ L•• E••••••••• L••Registered adviserregistration: previous registration
Nov 14, 2024 to Apr 1, 2026factForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Aug 20, 2024 to Nov 14, 2024factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Occurred
Apr 1, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 21, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 6, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d344bde4-a2b3-4443-b39f-b76b7dc41173
First observed: Feb 3, 2022
Last observed: Sep 14, 2026 9 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.