DFX Intelligence

E••••• P••• K•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)21 years in industry

E••••• P••• K•••••••••

Advisor at S••••••••• A•••••••• I•••

HILLSDALE, NJ | AUSTIN, TX

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Search this name across graphsid dfx:ria:4b40e928-af0b-0aef-8957-6c5f381d7edb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 8, 2006 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: S••••••••• A•••••••• I•••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• A•••••••• I•••	Mixed wealth	Oct 18, 2016	n/a	yes	HILLSDALE, NJ\|AUSTIN, TX	Current employment
I••••••••• A••••••• A•••• M••••••••• L••	Former SEC adviser	Feb 8, 2006	Aug 19, 2016	no	PARAMUS, NJ\|EASTON, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I••••••••• A••••••• A•••• M••••••••• L••	S••••••••• A•••••••• I•••	Aug 19, 2016	Oct 18, 2016	60	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
128716:142095:PA:2016-08-19	Aug 19, 2016	Oct 18, 2016	EASTON, PA	Firm change

Relationships

Registered with (2)

→ S••••••••• A•••••••• I•••Registered adviserregistration: current employment
Oct 18, 2016 to presentfactForm ADV
→ I••••••••• A••••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Feb 8, 2006 to Aug 19, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b40e928-af0b-0aef-8957-6c5f381d7edb
First observed: Feb 8, 2006
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.