DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

E••• E• H•••••

C••••• I••••••••• A••••••• L••BD affiliatedMerrick, Nydual registrantIAPD 2678289

Feed of 09/14/2026

Also filed as Eric E Harley

At current firm

1 y

since May 1, 2025

In the industry

29 y

since Nov 1, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since May 1, 2025 · Merrick, Ny
K••••• A••••••• S•••••••• L•• BD affiliated
Jan 11, 2022 to Apr 29, 2025 · Merrick, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 15, 2019 to Jan 12, 2022 · Brooklyn, Ny
K••••• A••••••• S•••••••• L•• BD affiliated
Mar 1, 2018 to Sep 24, 2019 · Merrick, Ny
L•• F•••••••• L•• BD affiliated
Apr 14, 2014 to Dec 22, 2017 · Merrick, Ny
C••••••••• I••••••••• L•• mixed wealth
Dec 19, 2005 to Jan 10, 2014 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 8, 2005 to Dec 19, 2005 · Stamford, Ct

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left Apr 29, 2025, registered May 1, 2025 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
J••• M••••• S••••••••• L•• to K••••• A••••••• S•••••••• L••
left Jan 12, 2022, registered Jan 11, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank
K••••• A••••••• S•••••••• L•• to J••• M••••• S••••••••• L••
left Sep 24, 2019, registered Oct 15, 2019 (21 days) · Affiliated broker-dealer or bank to wirehouse
L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••
left Dec 22, 2017, registered Mar 1, 2018 (69 days) · Other
C••••••••• I••••••••• L•• to L•• F•••••••• L••
left Jan 10, 2014, registered Apr 14, 2014 (94 days) · Other
C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••
left Dec 19, 2005, registered Dec 19, 2005 (0 days) · corporate re-registration, not a move

Signals

E••• E• H••••• left K••••• A••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-05-01)
Apr 29, 2025 · Advisor changed firm · fact
E••• E• H••••• left J••• M••••• S••••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2022-01-11)
Jan 12, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address