DFX Intelligence

E•••• E•••••••• P•••••: 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)28 years in industry

E•••• E•••••••• P•••••

Advisor at W•••• F•••• A•••••••

GAITHERSBURG, MD | ROCHESTER, 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:cc9ca160-afd8-85d7-d503-f8916776d7fc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Oct 20, 2016 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Dec 19, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Apr 23, 2025	n/a	yes	GAITHERSBURG, MD\|ROCHESTER, NY	Current employment
R•• C•••••• M••••••• L••	National bd RIA	Jul 12, 2023	Jan 25, 2024	no	FREDERICK, MD	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• C•••••• M••••••• L••	W•••• F•••• A•••••••	Jan 25, 2024	Apr 23, 2025	454	Firm change after gap	Ibd to wirehouse
M••••• S••••••	R•• C•••••• M••••••• L••	Jun 29, 2023	Jul 12, 2023

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Apr 23, 2025 to presentfactForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Jul 12, 2023 to Jan 25, 2024factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Aug 15, 2022 to Jun 29, 2023factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Jan 25, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 29, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 26, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc9ca160-afd8-85d7-d503-f8916776d7fc
First observed: Oct 20, 2016
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.