DFX Intelligence

J•••• R• D••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

J•••• R• D••••••••

Advisor at N•• E••• W•••••

STAMFORD, CT

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Search this name across graphsid dfx:ria:09537650-96d7-947a-93e9-315c6029c469

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: May 23, 2019 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: N•• E••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom 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
N•• E••• W•••••	Bd affiliated wealth	Jul 24, 2026	n/a	yes	STAMFORD, CT	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jan 10, 2025	Jun 30, 2026	no	Stamford, CT\|MELVILLE, NY\|STAMFORD, CT\|GREENWICH, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	N•• E••• W•••••	Jun 30, 2026	Jul 24, 2026	24	Firm change	Wirehouse to ibd
O••••••••• • C•• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Dec 26, 2024	Jan 10, 2025

Relationships

Registered with (4)

→ N•• E••• W•••••Registered adviserregistration: current employment
Jul 24, 2026 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jan 10, 2025 to Jun 30, 2026factForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Mar 15, 2023 to Dec 26, 2024factForm ADV
→ M•• I•••••••• S•••••••• L••

Dated events

Occurred
Jun 30, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 26, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 16, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09537650-96d7-947a-93e9-315c6029c469
First observed: May 23, 2019
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.