DFX Intelligence

D•••••• A• W•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

D•••••• A• W•••••••

Advisor at E•••• S••••••••• L••

WHITE PLAINS, NY

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Search this name across graphsid dfx:ria:c53503d5-afaf-8472-b115-483163672527

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: Aug 16, 2005 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 public••• Locked
Industry start: Dec 7, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 10

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••• S••••••••• L••	Bd affiliated wealth	Mar 20, 2026	n/a	yes	WHITE PLAINS, NY	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Apr 12, 2023	Dec 17, 2025	no	WHITE PLAINS, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	E•••• S••••••••• L••	Dec 17, 2025	Mar 20, 2026	93	Firm change	Wirehouse to ibd
C•••••••• G••••• M•••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Mar 7, 2023	Apr 12, 2023

Relationships

Registered with (9)

→ E•••• S••••••••• L••Registered adviserregistration: previous registration
Sep 22, 2021 to Dec 6, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 12, 2023 to Dec 17, 2025factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Nov 29, 2022 to Mar 7, 2023factForm ADV
→ P•••• S••••••••• L••

Dated events

Occurred
Dec 17, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 7, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 6, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c53503d5-afaf-8472-b115-483163672527
First observed: Aug 16, 2005
Last observed: Sep 14, 2026 9 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.