DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

R••••• W•••••• K••••••••

Advisor at E•••••••• A•••••••• L••

REMSENBURG, NY

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Search this name across graphsid dfx:ria:3506cc39-1c08-a5a0-97e3-130dbb4101f0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 22, 2008 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: Sep 2, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••••• A•••••••• L••	National bd RIA	May 18, 2021	n/a	yes	REMSENBURG, NY	Current employment
M•• F•••••••• S•••••••• I•••	Former SEC adviser	Oct 6, 2014	Nov 13, 2015	no	HAUPPAUGE, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• F•••••••• S•••••••• I•••	E•••••••• A•••••••• L••	Nov 13, 2015	May 18, 2021	2,013	Firm change after gap	Other
M••••• O• O•••• I••••••• S•••••••• I•••	M•• F•••••••• S•••••••• I•••	Oct 8, 2014	Oct 6, 2014

Relationships

Registered with (3)

→ E•••••••• A•••••••• L••Registered adviserregistration: current employment
May 18, 2021 to presentfactForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 6, 2014 to Nov 13, 2015factForm ADV
→ M••••• O• O•••• I••••••• S•••••••• I•••Registered adviserregistration: previous registration
Aug 22, 2008 to Oct 8, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3506cc39-1c08-a5a0-97e3-130dbb4101f0
First observed: Aug 22, 2008
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.