DFX Intelligence

G••••• M•••••• M••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

G••••• M•••••• M••••

Advisor at E•••• S••••••••• L••

NEW WINDSOR, NY

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Search this name across graphsid dfx:ria:7afbd974-4346-fdef-f71f-a1f97ef2a583

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 25, 2007 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•••• S••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 23, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••• S••••••••• L••	Bd affiliated wealth	Oct 27, 2015	n/a	yes	NEW WINDSOR, NY	Current employment
B• R•••• W••••• A•••••••• I•••	Bd affiliated wealth	Apr 3, 2014	Sep 11, 2015	no	POUGHKEEPSIE, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B• R•••• W••••• A•••••••• I•••	E•••• S••••••••• L••	Sep 11, 2015	Oct 27, 2015	46	Firm change	Other
A•••• • F•••••••• P•••••••• L••	B• R•••• W••••• A•••••••• I•••	May 6, 2014	Apr 3, 2014

Relationships

Registered with (4)

→ E•••• S••••••••• L••Registered adviserregistration: current employment
Oct 27, 2015 to presentfactForm ADV
→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Apr 3, 2014 to Sep 11, 2015factForm ADV
→ A•••• • F•••••••• P•••••••• L••Registered adviserregistration: previous registration
Jan 16, 2008 to May 6, 2014factForm ADV
→ E•••••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7afbd974-4346-fdef-f71f-a1f97ef2a583
First observed: Jul 25, 2007
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.