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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

C•••••• E••• S••••••••

Advisor at S••••••••• A•••••••• L••

Bernardsville, NJ | CHICAGO, IL

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:8e5e398f-1afd-9c48-d52c-02d8efb4cab5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: May 17, 2011 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•••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• A•••••••• L••	Independent wealth	Mar 11, 2026	n/a	yes	Bernardsville, NJ\|CHICAGO, IL	Current employment
B•••••••• I••••••••• M••••••••• L••	Asset manager	May 17, 2011	Oct 17, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B•••••••• I••••••••• M••••••••• L••	S••••••••• A•••••••• L••	Oct 17, 2025	Mar 11, 2026	145	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
108928:171992:NJ:2025-10-16	Oct 17, 2025	Mar 11, 2026	PRINCETON, NJ	Firm change

Relationships

Registered with (2)

→ S••••••••• A•••••••• L••Registered adviserregistration: current employment
Mar 11, 2026 to presentfactForm ADV
→ B•••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
May 17, 2011 to Oct 17, 2025factForm ADV

Dated events

Occurred
Oct 17, 2025
Advisor changed firm
C•••••• E••• S•••••••• left B•••••••• I••••••••• M••••••••• L•• for S••••••••• A•••••••• L•• (registered 2026-03-11)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e5e398f-1afd-9c48-d52c-02d8efb4cab5
First observed: May 17, 2011
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.