DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

A••••••• B•••••• S••••••••

Advisor at U•• F•••••••• S••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:e57b222d-52ba-df3f-114f-1061aa11957f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 13, 2017 to Sep 15, 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•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Sep 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom 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•• F•••••••• S••••••• I•••	Wirehouse	Feb 18, 2025	n/a	yes	DENVER, CO\|Princeton, NJ\|Denver, CO	Current employment
C•••••• A•••• M••••••••• L••	Independent wealth	Mar 9, 2020	Feb 18, 2025	no	DENVER, CO\|CHICAGO, IL\|Denver, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• A•••• M••••••••• L••	U•• F•••••••• S••••••• I•••	Feb 18, 2025	Feb 18, 2025	0	Firm change	RIA to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C•••••• A•••• M••••••••• L••	Mar 9, 2020	Mar 9, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:288566:CO:2020-03-09	Mar 9, 2020	Mar 9, 2020	DENVER, CO	Firm change

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Feb 18, 2025 to presentfactForm ADV
→ C•••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Mar 9, 2020 to Feb 18, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Feb 13, 2017 to Mar 9, 2020factForm ADV

Dated events

Occurred
Feb 18, 2025
Advisor changed firm
A••••••• B•••••• S•••••••• left C•••••• A•••• M••••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2025-02-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e57b222d-52ba-df3f-114f-1061aa11957f
First observed: Feb 13, 2017
Last observed: Sep 15, 2026 7 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.