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E••• J•••• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

E••• J•••• S•••••••

Advisor at I• F•••••••• A••••••• S••••••• L••

Oakville, CT | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:3fa92a03-0c67-0afa-ec7b-223d5d850ff2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2018 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: I• F•••••••• A••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 9, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
I• F•••••••• A••••••• S••••••• L••	Independent wealth	Mar 3, 2026	n/a	yes	CHARLOTTE, NC\|Oakville, CT	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Jan 19, 2024	Mar 5, 2026	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
O•••• W•••••• I•••	I• F•••••••• A••••••• S••••••• L••	Mar 5, 2026	Mar 3, 2026	-2	Firm change	Ibd to RIA
W••••••• F•••••••• S•••••••• I•••	O•••• W•••••• I•••	Jan 19, 2024

Relationships

Registered with (4)

→ I• F•••••••• A••••••• S••••••• L••Registered adviserregistration: current employment
Mar 3, 2026 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jan 19, 2024 to Mar 5, 2026factForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 1, 2019 to Jan 19, 2024factForm ADV
→ Q•••••• A•••• M••••••••• I•••

Dated events

Occurred
Mar 5, 2026
Advisor changed firm
E••• J•••• S••••••• left O•••• W•••••• I••• for I• F•••••••• A••••••• S••••••• L•• (registered 2026-03-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3fa92a03-0c67-0afa-ec7b-223d5d850ff2
First observed: Jan 29, 2018
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.