DFX Intelligence

C••••••••• M•••••• B••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

C••••••••• M•••••• B••••••

Advisor at E••••• J••••

YORKVILLE, NY

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Search this name across graphsid dfx:ria:e8f9ae78-0883-86d6-620f-817215a28d8e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 30, 2010 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••••• J••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 17, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E••••• J••••	National bd RIA	Sep 26, 2025	n/a	yes	YORKVILLE, NY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jul 20, 2023	Oct 3, 2025	no	NEW HARTFORD, NY\|NORTH HERKIMER, NY\|FRANKFORT, NY\|WHITESBORO, NY\|LITTLE FALLS, NY\|UTICA, NY\|CANASTOTA, NY\|CAMDEN, NY\|NEWPORT, NY\|UTICA, NY\|NEW HARTFORD, NY\|UTICA, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	E••••• J••••	Oct 3, 2025	Sep 26, 2025	-7	Firm change	Ibd to ibd
K•• I••••••••• S••••••• L••	L•• F•••••••• L••	Jul 17, 2023	Jul 20, 2023

Relationships

Registered with (3)

→ E••••• J••••Registered adviserregistration: previous registration
Aug 30, 2010 to Mar 31, 2011factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 20, 2023 to Oct 3, 2025factForm ADV
→ K•• I••••••••• S••••••• L••Registered adviserregistration: previous registration
Mar 26, 2021 to Jul 17, 2023factForm ADV

Dated events

Occurred
Oct 3, 2025
Advisor changed firm
C••••••••• M•••••• B•••••• left L•• F•••••••• L•• for E••••• J•••• (registered 2025-09-26)
Form ADVobserved 7 days ago
Occurred
Jul 17, 2023
Advisor changed firm
C••••••••• M•••••• B•••••• left K•• I••••••••• S••••••• L•• for L•• F•••••••• L•• (registered 2023-07-20)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e8f9ae78-0883-86d6-620f-817215a28d8e
First observed: Aug 30, 2010
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.