E••• M••••••

Advisor at S••••• F••••••••• L••

Westfield, NJ

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:59869926-55d5-b367-6d23-fdf56798cf0b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 9, 2012 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: S••••• F••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 15, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••• L••	Bd affiliated wealth	Jan 5, 2026	n/a	yes	Westfield, NJ	Current employment
S••••••• F•••••••• S•••••••• I•••	Former SEC adviser	May 17, 2018	Sep 28, 2022	no	PARSIPPANY, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F•••••••• S•••••••• I•••	S••••• F••••••••• L••	Sep 28, 2022	Jan 5, 2026	1,195	Firm change after gap	RIA to ibd
F•••• A••••• A••••••• S•••••••• I•••	S••••••• F•••••••• S•••••••• I•••	May 11, 2018	May 17, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
153062:137888:NJ:2016-09-26	Sep 26, 2016	Sep 27, 2016	EDISON, NJ	Firm change

Relationships

Registered with (5)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Jan 5, 2026 to presentfactForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 17, 2018 to Sep 28, 2022factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 27, 2016 to May 11, 2018factForm ADV
→ G•••••••• W••••• M••••••••• L••

Dated events

Occurred
Sep 28, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:59869926-55d5-b367-6d23-fdf56798cf0b
First observed: Apr 9, 2012
Last observed: Sep 14, 2026 9 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.