DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

C•••••••• L•• E••••••

Advisor at E•• F•••••••• A•••••••

ROCHESTER, NY | MONTPELIER, VT

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:9e439cf1-6560-7936-5c75-73b236063e53

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2001 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: E•• F•••••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 26, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•• F•••••••• A•••••••	Independent wealth	Feb 18, 2022	n/a	yes	ROCHESTER, NY\|MONTPELIER, VT	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 2, 2012	Nov 8, 2012	no	ROCHESTER, NY\|CHARLOTTE, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	E•• F•••••••• A•••••••	Nov 8, 2012	Feb 18, 2022	3,389	Firm change after gap	Other
N••••••••• S••••••••• L••	L•• F•••••••• L••	Apr 17, 2012	May 2, 2012

Relationships

Registered with (5)

→ E•• F•••••••• A•••••••Registered adviserregistration: current employment
Feb 18, 2022 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 2, 2012 to Nov 8, 2012factForm ADV
→ N••••••••• S••••••••• L••Registered adviserregistration: previous registration
Aug 8, 2008 to Apr 17, 2012factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9e439cf1-6560-7936-5c75-73b236063e53
First observed: Mar 12, 2001
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.