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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

M•••••• G•••••• B••••••

Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

SCOTTSDALE, AZ | EAU CLAIRE, WI

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Search this name across graphsid dfx:ria:fc2edced-7a25-237f-a27b-78653a47f150

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 29, 2011 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••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 27, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Independent wealth	Sep 27, 2019	n/a	yes	SCOTTSDALE, AZ\|EAU CLAIRE, WI	Current employment
B••••••• W••••• M••••••••• L•••	Former SEC adviser	Oct 15, 2012	Oct 11, 2019	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• W••••• M••••••••• L•••	U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••	Oct 11, 2019	Sep 27, 2019	-14	Firm change	RIA to RIA
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	B••••••• W••••• M••••••••• L•••	Oct 16, 2012

Relationships

Registered with (3)

→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Registered adviserregistration: current employment
Sep 27, 2019 to presentfactForm ADV
→ B••••••• W••••• M••••••••• L•••Registered adviserregistration: previous registration
Oct 15, 2012 to Oct 11, 2019factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jul 29, 2011 to Oct 16, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fc2edced-7a25-237f-a27b-78653a47f150
First observed: Jul 29, 2011
Last observed: Sep 14, 2026 8 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.