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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

R••••• F••••••• A••••

Advisor at E•••••••• A•••••••• L••

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:3113395b-074d-0c5e-af6b-8cf127e56fab

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 28, 2000 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: Sep 5, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	Jan 20, 2023	n/a	yes	SAN DIEGO, CA\|SAN DIEGO, CA	Current employment
E•••••• C•••••• M••••••••• L••	Former SEC adviser	Jul 30, 2013	Feb 16, 2023	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
E•••••• C•••••• M••••••••• L••	E•••••••• A•••••••• L••	Feb 16, 2023	Jan 20, 2023	-27	Firm change	RIA to ibd
C•••••••• G••••• M•••••• I•••	E•••••• C•••••• M••••••••• L••	Jul 26, 2013

Relationships

Registered with (4)

→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 28, 2000 to Nov 11, 2002factForm ADV
→ E•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 30, 2013 to Feb 16, 2023factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jun 28, 2010 to Jul 26, 2013factForm ADV
→ C•••••••• F••••••••• I•••

Dated events

Occurred
Feb 16, 2023
Advisor changed firm
R••••• F••••••• A•••• left E•••••• C•••••• M••••••••• L•• for E•••••••• A•••••••• L•• (registered 2023-01-20)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3113395b-074d-0c5e-af6b-8cf127e56fab
First observed: Jul 28, 2000
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.