T•• A••••• F•••

Advisor at E•••• S••••••••• L••

JOHNSTON, RI

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:cde39b10-c135-c6f9-6eab-aac8146c27f8

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

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Oct 3, 2024 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: Feb 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••• S••••••••• L••	Bd affiliated wealth	Apr 2, 2026	n/a	yes	JOHNSTON, RI	Current employment
R•••••••• C•••••• A••••••• L••	Independent wealth	Oct 3, 2024	May 12, 2025	no	BOSTON, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••••• C•••••• A••••••• L••	E•••• S••••••••• L••	May 12, 2025	Apr 2, 2026	325	Firm change	RIA to ibd

Relationships

Registered with (2)

→ E•••• S••••••••• L••Registered adviserregistration: current employment
Apr 2, 2026 to presentfactForm ADV
→ R•••••••• C•••••• A••••••• L••Registered adviserregistration: previous registration
Oct 3, 2024 to May 12, 2025factForm ADV

Dated events

Occurred
May 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cde39b10-c135-c6f9-6eab-aac8146c27f8
First observed: Oct 3, 2024
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.