DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Y••••••••• T••••••••

Advisor at U••• B•••••• A•••••••• L••

Beverly Hills, CA

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Search this name across graphsid dfx:ria:f7a1a538-88d2-ede6-9d0d-8355b3aa6f79

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 16, 2004 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 13, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••• B•••••• A•••••••• L••	Bd affiliated wealth	Jan 10, 2007	n/a	yes	Beverly Hills, CA	Current employment
W•••• F•••• I••••••••• L••	n/a	Aug 16, 2004	Jan 3, 2007	no	WEST HOLLYWOOD, CA\|WEST HOLLYWOOD, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• I••••••••• L••	U••• B•••••• A•••••••• L••	Jan 3, 2007	Jan 10, 2007	7	Firm change	Other

Relationships

Registered with (2)

→ U••• B•••••• A•••••••• L••Registered adviserregistration: current employment
Jan 10, 2007 to presentfactForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Aug 16, 2004 to Jan 3, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f7a1a538-88d2-ede6-9d0d-8355b3aa6f79
First observed: Aug 16, 2004
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.