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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)30 years in industry

C••••••••• S• A•••••••

Advisor at E•••• S••••••••• L••

BROOKLYN, NY

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:8f8828f7-829f-4345-2108-2a27782ec06b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jan 8, 2020 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 20, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
E•••• S••••••••• L••	Bd affiliated wealth	Jul 27, 2023	n/a	yes	BROOKLYN, NY	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Jun 23, 2022	Mar 7, 2023	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
C•••••••• G••••• M•••••• I•••	E•••• S••••••••• L••	Mar 7, 2023	Jul 27, 2023	142	Firm change	Ibd to ibd
M••••• S••••••	C•••••••• G••••• M•••••• I•••	Jun 13, 2022

Team moves

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

Team	Left	Joined	From	Kind
110826:149777:NY:2022-04-01	Apr 14, 2022	Mar 18, 2022	NEW YORK, NY	Firm change

Relationships

Registered with (3)

→ E•••• S••••••••• L••Registered adviserregistration: previous registration
Jan 8, 2020 to Apr 14, 2022factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jun 23, 2022 to Mar 7, 2023factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Mar 18, 2022 to Jun 13, 2022factForm ADV

Dated events

Occurred
Mar 7, 2023
Advisor changed firm
C••••••••• S• A••••••• left C•••••••• G••••• M•••••• I••• for E•••• S••••••••• L•• (registered 2023-07-27)
Form ADVobserved 6 days ago
Occurred
Jun 13, 2022
Advisor changed firm
C••••••••• S• A••••••• left M••••• S•••••• for C•••••••• G••••• M•••••• I••• (registered 2022-06-23)
Form ADVobserved 6 days ago
Occurred
Apr 14, 2022
Advisor changed firm
C••••••••• S• A••••••• left E•••• S••••••••• L•• for M••••• S•••••• (registered 2022-03-18)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8f8828f7-829f-4345-2108-2a27782ec06b
First observed: Jan 8, 2020
Last observed: Sep 14, 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.