DFX Intelligence

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

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RIA / WealthAdvisor21 years in industry

N••••• K•• S•••••••

Advisor at U••••• A•••••• G••••

SAFFORD, AZ | CINCINNATI, OH

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Search this name across graphsid dfx:ria:d74d827e-9878-0172-69e5-5bfdd57534f3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 28, 2017 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••••• A•••••• G••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 21, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• A•••••• G••••	Independent wealth	Oct 16, 2024	n/a	yes	CINCINNATI, OH\|SAFFORD, AZ	Current employment
S•• I••••••••• A•••••••• I•••	Former SEC adviser	Sep 9, 2019	Nov 4, 2024	no	SAN DIEGO, CA\|SAFFORD, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•• I••••••••• A•••••••• I•••	U••••• A•••••• G••••	Nov 4, 2024	Oct 16, 2024	-19	Firm change	Ibd to RIA
G••••• V••• C•••••• M••••••••• L••	S•• I••••••••• A•••••••• I•••	Oct 1, 2019	Sep 9, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
123608:324205:AZ:2024-10-22	Nov 4, 2024	Oct 16, 2024	SAFFORD, AZ	Firm change
158292:123608:WI:2019-10-01	Oct 1, 2019	Sep 9, 2019	WAUKESHA, WI	Firm change

Relationships

Registered with (3)

→ U••••• A•••••• G••••Registered adviserregistration: current employment
Oct 16, 2024 to presentfactForm ADV
→ S•• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 9, 2019 to Nov 4, 2024factForm ADV
→ G••••• V••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Sep 28, 2017 to Oct 1, 2019factForm ADV

Dated events

Occurred
Nov 4, 2024
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d74d827e-9878-0172-69e5-5bfdd57534f3
First observed: Sep 28, 2017
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.