DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

D•••• M••••••• L•••••

Advisor at U•• A•••• M••••••••• ••••••••• L••

NEW YORK, NY | New York, NY

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Search this name across graphsid dfx:ria:e31ce04d-112a-bf77-c3a0-2a5beb7eeaae

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 8, 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•• A•••• M••••••••• ••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• A•••• M••••••••• ••••••••• L••	Mixed wealth	Apr 29, 2026	n/a	yes	NEW YORK, NY\|New York, NY	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jun 8, 2007	Apr 30, 2026	no	WEEHAWKEN, NJ\|WEEHAWKEN, NJ\|WEEHAWKEN, NJ\|London

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	U•• A•••• M••••••••• ••••••••• L••	Apr 30, 2026	Apr 29, 2026	-1	Firm change	Wirehouse to RIA

Relationships

Registered with (2)

→ U•• A•••• M••••••••• ••••••••• L••Registered adviserregistration: current employment
Apr 29, 2026 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jun 8, 2007 to Apr 30, 2026factForm ADV

Dated events

Occurred
Apr 30, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e31ce04d-112a-bf77-c3a0-2a5beb7eeaae
First observed: Jun 8, 2007
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.