DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

S•••••• N••• F••••

Advisor at E••••••• C•••••• A•••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2de3d1ae-f5e2-5788-bb4c-242644c161c5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 7, 1999 to Sep 15, 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••••••• C•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 3, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E••••••• C•••••• A•••••••• L••	Independent wealth	Jan 13, 2026	n/a	yes	AURORA, OH	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jan 24, 2008	n/a	yes	Delaware, OH\|Dublin, OH	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• W••••• M•••••••••	E••••••• C•••••• A•••••••• L••	Oct 2, 2024	Sep 24, 2025	357	Firm change	RIA to new firm
M•• I•••••••• S•••••••• L••	C••••••••• F•••••••• N••••••	Feb 4, 2008	Jan 24, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
108913:337827:OH:2024-10-02	Oct 2, 2024	Sep 24, 2025	NEW PHILADELPHIA, OH	Firm change

Relationships

Registered with (4)

→ E••••••• C•••••• A•••••••• L••Registered adviserregistration: previous registration
Sep 24, 2025 to Dec 31, 2025factForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jan 24, 2008 to presentfactForm ADV
→ R•• W••••• M•••••••••Registered adviserregistration: previous registration
Jan 7, 2019 to Oct 2, 2024factForm ADV
→ M•• I•••••••• S•••••••• L••

Dated events

Occurred
Oct 2, 2024
Advisor changed firm
S•••••• N••• F•••• left R•• W••••• M••••••••• for E••••••• C•••••• A•••••••• L•• (registered 2025-09-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2de3d1ae-f5e2-5788-bb4c-242644c161c5
First observed: Dec 7, 1999
Last observed: Sep 15, 2026 7 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.