DFX Intelligence

M••••• D•••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

M••••• D•••• S••••••

Advisor at E•••• S••••••••• L••

WALL, NJ

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Search this name across graphsid dfx:ria:03eeee37-7469-4837-fb9a-c116c6427d10

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2003 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: E•••• S••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 9, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••• S••••••••• L••	Bd affiliated wealth	Oct 26, 2016	n/a	yes	WALL, NJ	Current employment
O• I••••••••• M••••••••• C•	Bd affiliated wealth	Aug 15, 2014	May 21, 2015	no	MANASQUAN, NJ\|CINCINNATI, OH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O• I••••••••• M••••••••• C•	E•••• S••••••••• L••	May 21, 2015	Oct 26, 2016	524	Firm change after gap	Other
M•• I•••••••• S•••••••• L••	O• I••••••••• M••••••••• C•	Jul 18, 2014	Aug 15, 2014

Relationships

Registered with (6)

→ E•••• S••••••••• L••Registered adviserregistration: current employment
Oct 26, 2016 to presentfactForm ADV
→ O• I••••••••• M••••••••• C•Registered adviserregistration: previous registration
Aug 15, 2014 to May 21, 2015factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 4, 2011 to Jul 18, 2014factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:03eeee37-7469-4837-fb9a-c116c6427d10
First observed: Apr 3, 2003
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.