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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

S•••••• C••••• S••••••

Advisor at E•••••••• A•••••••• L••

NEW YORK, NY | KANSAS CITY, MO

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Search this name across graphsid dfx:ria:0bad2551-f2af-2a35-034c-c5355cc7943c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 8, 2010 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•••••••• A•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 5, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 7derivedfrom 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
E•••••••• A•••••••• L••	National bd RIA	Feb 27, 2019	n/a	yes	NEW YORK, NY\|KANSAS CITY, MO	Current employment
C••••••••• W•••••• L••	Independent wealth	Jan 3, 2017	Sep 28, 2017	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
C••••••••• W•••••• L••	E•••••••• A•••••••• L••	Sep 28, 2017	Feb 27, 2019	517	Firm change after gap	Other
M•••••• A••••• S••••••••• L••	C••••••••• W•••••• L••	Dec 27, 2016

Relationships

Registered with (4)

→ E•••••••• A•••••••• L••Registered adviserregistration: current employment
Feb 27, 2019 to presentfactForm ADV
→ C••••••••• W•••••• L••Registered adviserregistration: previous registration
Jan 3, 2017 to Sep 28, 2017factForm ADV
→ M•••••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Jun 7, 2016 to Dec 27, 2016factForm ADV
→ A••••••••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0bad2551-f2af-2a35-034c-c5355cc7943c
First observed: Mar 8, 2010
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.