DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

G•••••• L•••• M•••••

Advisor at U••• B•••••• A•••••••• L••

Parker, CO

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Search this name across graphsid dfx:ria:f0345cfa-4fa1-9b09-a4d6-c8d464a9cc7e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Oct 9, 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: Apr 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Jul 21, 2026	n/a	yes	Parker, CO\|Parker, CO	Current employment
S••••	Independent wealth	May 7, 2026	Jun 23, 2026	no	Denver, CO\|NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••	U••• B•••••• A•••••••• L••	Jun 23, 2026	Jul 21, 2026	28	Firm change	RIA to ibd
S•••••••• A••••••• L••	S••••	Mar 23, 2026	May 7, 2026

Relationships

Registered with (5)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Jul 21, 2026 to presentfactForm ADV
→ S••••Registered adviserregistration: previous registration
May 7, 2026 to Jun 23, 2026factForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 31, 2025 to Mar 23, 2026factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••

Dated events

Occurred
Jun 23, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 23, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 2, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0345cfa-4fa1-9b09-a4d6-c8d464a9cc7e
First observed: Oct 9, 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.