DFX Intelligence

L•••• R•••• G••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

L•••• R•••• G••••••

Advisor at U••• B•••••• A•••••••• L••

Vancouver, WA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 4:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Mar 9, 2007 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: Mar 8, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Vancouver, WA	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jun 15, 2023	Feb 13, 2026	no	Saint Paul, MN\|Vancouver, WA\|Sioux Falls, SD\|Vancouver, WA\|SPOKANE, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	U••• B•••••• A•••••••• L••	Feb 13, 2026	Feb 13, 2026	0	Bulk transfer	Ibd to ibd
C••••• I••••••••• A••••••• L••	U••• B•••••• I••••••••• I•••	Apr 10, 2023	Jun 15, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
1254:105644:WA:2023-03-01	Mar 7, 2023	Mar 8, 2023	VANCOUVER, WA	Firm change
6413:1254:WA:2015-09-09	Sep 9, 2015	Sep 8, 2015	VANCOUVER, WA	Firm change

Relationships

Registered with (7)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jun 15, 2023 to Feb 13, 2026factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 8, 2023 to Apr 10, 2023factForm ADV
→ S•••••• P••••••• I••••••••• S••••••••• L••

Dated events

Order

Occurred
10 Apr 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
7 Mar 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 9, 2007
Last observed: Sep 14, 2026 10 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.