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S•••• L•••• F•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner13 years in industry

S•••• L•••• F•••••••

Advisor at E•••••••

NEW YORK, NY | Albuquerque, NM

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Search this name across graphsid dfx:ria:df13a4f1-93d7-d8df-eed7-4819b26c5af6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 25, 2018 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•••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

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•••••••	Independent wealth	Nov 13, 2020	n/a	yes	NEW YORK, NY\|Albuquerque, NM	Current employment
M••••• S••••••	Wirehouse	Jun 25, 2018	Nov 19, 2020	no	Albuquerque, NM

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
M••••• S••••••	E•••••••	Nov 19, 2020	Nov 13, 2020	-6	Firm change	Wirehouse to RIA

Relationships

Registered with (2)

→ E•••••••Registered adviserregistration: current employment
Nov 13, 2020 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 25, 2018 to Nov 19, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df13a4f1-93d7-d8df-eed7-4819b26c5af6
First observed: Jun 25, 2018
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.