DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst20 years in industry

J•••••• J• S•• M•••

Advisor at C••••• P••••••• L••

NEW YORK, NY | BOSTON, MA

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Search this name across graphsid dfx:ria:0d4c9b9f-8424-2d76-cc3a-cf2857f4b97f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 8, 2006 to Sep 15, 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: C••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 7, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Jan 3, 2025	n/a	yes	NEW YORK, NY\|BOSTON, MA	Current employment
P••• W••••• L•	Former SEC adviser	Jan 30, 2008	Feb 3, 2025	no	BOSTON, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••• W••••• L•	C••••• P••••••• L••	Feb 3, 2025	Jan 3, 2025	-31	Firm change after gap	RIA to RIA
L••••• B••••••• I•••	P••• W••••• L•	Nov 20, 2007	Jan 30, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
105058:151559:MA:2025-02-03	Feb 3, 2025	Jan 3, 2025	BOSTON, MA	Firm change after gap

Relationships

Registered with (3)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Jan 3, 2025 to presentfactForm ADV
→ P••• W••••• L•Registered adviserregistration: previous registration
Jan 30, 2008 to Feb 3, 2025factForm ADV
→ L••••• B••••••• I•••Registered adviserregistration: previous registration
Jun 8, 2006 to Nov 20, 2007factForm ADV

Dated events

Occurred
Feb 3, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0d4c9b9f-8424-2d76-cc3a-cf2857f4b97f
First observed: Jun 8, 2006
Last observed: Sep 15, 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.