DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

S•••• D••• P••••••

Advisor at E•••••••• A•••••••• L••

NUTLEY, NJ

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Search this name across graphsid dfx:ria:231f0490-3635-4d08-8212-ca98def49272

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 31, 2002 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 public••• Locked
Industry start: May 20, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••••• A•••••••• L••	National bd RIA	Feb 20, 2024	n/a	yes	NUTLEY, NJ	Current employment
N••••••••• W•••••	Independent wealth	Feb 25, 2022	Feb 22, 2024	no	NORTH CALDWELL, NJ\|Nutley, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••••• W•••••	E•••••••• A•••••••• L••	Feb 22, 2024	Feb 20, 2024	-2	Firm change	RIA to ibd
L•• F•••••••• L••	N••••••••• W•••••	Mar 15, 2022	Feb 25, 2022

Relationships

Registered with (4)

→ E•••••••• A•••••••• L••Registered adviserregistration: current employment
Feb 20, 2024 to presentfactForm ADV
→ N••••••••• W•••••Registered adviserregistration: previous registration
Feb 25, 2022 to Feb 22, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 8, 2006 to Mar 15, 2022factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

Occurred
Feb 22, 2024
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 15, 2022
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:231f0490-3635-4d08-8212-ca98def49272
First observed: Jul 31, 2002
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.