DFX Intelligence

T••••••• W•••••• H•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

T••••••• W•••••• H•••••••

Advisor at U••• B•••••• A•••••••• L••

Ladue, MO

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Search this name across graphsid dfx:ria:e663bd9a-f777-bcc6-9037-ccd0d58f9522

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 5, 2013 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: Aug 2, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Ladue, MO	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Jul 28, 2014	Feb 13, 2026	no	Saint Louis, MO\|Saint Paul, MN\|Saint Louis, MO\|Arnold, MO\|Saint Louis, MO\|Crystal City, MO\|SAINT LOUIS, MO\|Saint Louis, MO\|Ladue, MO\|Saint Louis, MO\|CLAYTON, MO\|SAINT PAUL, MN

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
S•••••• N••••••• • C••••••• I•••••••••	U••• B•••••• I••••••••• I•••	Jul 30, 2014	Jul 28, 2014

Relationships

Registered with (3)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Jul 28, 2014 to Feb 13, 2026factForm ADV
→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: previous registration
Aug 5, 2013 to Jul 30, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e663bd9a-f777-bcc6-9037-ccd0d58f9522
First observed: Aug 5, 2013
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.