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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)17 years in industry

C•••• E••• S••••••

Advisor at E•••••• A••••••• G••••• L••

GREENWOOD VILLAGE, CO | Franklinville, NJ

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Search this name across graphsid dfx:ria:9a23d0b4-9842-fe69-8906-90ed2c311a23

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 4, 2008 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•••••• A••••••• G••••• 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: Dec 3, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 6derivedfrom 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•••••• A••••••• G••••• L••	Bd affiliated wealth	Jul 15, 2020	n/a	yes	GREENWOOD VILLAGE, CO\|Franklinville, NJ	Current employment
C••••••• • C••• I•••	Former SEC adviser	Sep 17, 2012	May 9, 2016	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••••••• • C••• I•••	E•••••• A••••••• G••••• L••	May 9, 2016	Jul 15, 2020	1,528	Firm change after gap	Other
C••••••••• P•••••••• I•••	C••••••• • C••• I•••	Sep 17, 2012

Relationships

Registered with (4)

→ E•••••• A••••••• G••••• L••Registered adviserregistration: current employment
Jul 15, 2020 to presentfactForm ADV
→ C••••••• • C••• I•••Registered adviserregistration: previous registration
Sep 17, 2012 to May 9, 2016factForm ADV
→ C••••••••• P•••••••• I•••Registered adviserregistration: previous registration
Mar 21, 2011 to Sep 17, 2012factForm ADV
→ L•• F•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a23d0b4-9842-fe69-8906-90ed2c311a23
First observed: Dec 4, 2008
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.