DFX Intelligence

J••• M••••••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

J••• M••••••• S••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

PROVIDENCE, RI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 2, 2006 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: May 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 20derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Mar 8, 2006	n/a	yes	PROVIDENCE, RI	Current employment
A•••••• I•••	n/a	Mar 2, 2006	Mar 8, 2006	no	PROVIDENCE, RI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Mar 8, 2006	Mar 8, 2006	0	Bulk transfer	Other

Relationships

Registered with (2)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Mar 8, 2006 to presentfactForm ADV
→ A•••••• I•••Registered adviserregistration: previous registration
Mar 2, 2006 to Mar 8, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 2, 2006
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.