DFX Intelligence

V••••••••• R••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

V••••••••• R••••••••

Advisor at E•••• S••••••••• L••

WALTHAM, MA

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Search this name across graphsid dfx:ria:1a0d2d26-2ce4-fc5c-1d6e-3f86d5429efb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 9, 2015 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: Feb 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••• S••••••••• L••	Bd affiliated wealth	Oct 21, 2025	n/a	yes	WALTHAM, MA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 11, 2024	Feb 4, 2025	no	Waltham, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	E•••• S••••••••• L••	Feb 4, 2025	Oct 21, 2025	259	Firm change	Ibd to ibd
M••••• S••••••	A••••••••• F•••••••• S•••••••• L••	Jun 13, 2024	Jun 11, 2024

Relationships

Registered with (4)

→ E•••• S••••••••• L••Registered adviserregistration: current employment
Oct 21, 2025 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jun 11, 2024 to Feb 4, 2025factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jul 9, 2021 to Jun 13, 2024factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Feb 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 13, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1a0d2d26-2ce4-fc5c-1d6e-3f86d5429efb
First observed: Jun 9, 2015
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.