DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)42 years in industry

E••••• L•••••• S•••

Advisor at C••••••••• F•••••••• N••••••

Wayne, PA

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Search this name across graphsid dfx:ria:691c9ee4-d728-3478-57b2-3b2e3ffe1a62

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 3, 2003 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 16, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Oct 1, 2014	n/a	yes	Wayne, PA	Current employment
U•••••• I••••••••• I•••	Former SEC adviser	Nov 16, 2012	Oct 1, 2014	no	SOUDERTON, PA\|HILLSBOROUGH, NJ\|DOYLESTOWN, PA\|WAYNE, PA\|WAYNE, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••• F•••••••• S•••••••• L••	U•••••• I••••••••• I•••	Dec 31, 2014	Nov 16, 2012	-775	Firm change after gap	Other
U•••••• I••••••••• I•••	C••••••••• F•••••••• N••••••	Oct 1, 2014	Oct 1, 2014

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Oct 1, 2014 to presentfactForm ADV
→ S••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Feb 3, 2003 to Dec 31, 2014factForm ADV
→ U•••••• I••••••••• I•••Registered adviserregistration: previous registration
Nov 16, 2012 to Oct 1, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:691c9ee4-d728-3478-57b2-3b2e3ffe1a62
First observed: Feb 3, 2003
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.