DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

L•••• A• S••••••••

Advisor at E••••• J••••

Troy, NY | SARATOGA SPRINGS, NY

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Search this name across graphsid dfx:ria:7f870ac7-848c-9765-84bd-56d81fc1d6fc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 14, 2017 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••••• J••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E••••• J••••	National bd RIA	Nov 19, 2021	n/a	yes	Troy, NY\|SARATOGA SPRINGS, NY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Mar 20, 2020	Dec 3, 2021	no	LATHAM, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	E••••• J••••	Dec 3, 2021	Nov 19, 2021	-14	Firm change	Ibd to ibd
T••••••• B•••••• A•• R••••••••• A•••••••	L•• F•••••••• L••	Jan 8, 2020	Mar 20, 2020

Relationships

Registered with (4)

→ E••••• J••••Registered adviserregistration: current employment
Nov 19, 2021 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 20, 2020 to Dec 3, 2021factForm ADV
→ T••••••• B•••••• A•• R••••••••• A•••••••Registered adviserregistration: previous registration
Apr 3, 2018 to Jan 8, 2020factForm ADV
→ C••••••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f870ac7-848c-9765-84bd-56d81fc1d6fc
First observed: Jun 14, 2017
Last observed: Sep 14, 2026 8 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.