J•••• M••••••••

Advisor at S••••••••• W•••••

SUMMIT, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Dec 11, 2007 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: S••••••••• W•••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• W•••••	Mixed wealth	Apr 4, 2024	n/a	yes	SUMMIT, NJ	Current employment
S••••••••• S••••••••• L••	Former SEC adviser	Dec 20, 2022	Mar 27, 2024	no	Summit, NJ\|MINNEAPOLIS, MN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• S••••••••• L••	S••••••••• W•••••	Mar 27, 2024	Apr 4, 2024	8	Firm change	Other
S••••••••• W•••••	S••••••••• S••••••••• L••	Dec 5, 2022	Dec 20, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
175009:300572:MN:2024-03-27	Mar 27, 2024	Apr 4, 2024	MINNEAPOLIS, MN	Firm change

Relationships

Registered with (3)

→ S••••••••• W•••••Registered adviserregistration: previous registration
Dec 4, 2019 to Dec 5, 2022factForm ADV
→ S••••••••• S••••••••• L••Registered adviserregistration: previous registration
Dec 20, 2022 to Mar 27, 2024factForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Dec 11, 2007 to May 16, 2019factForm ADV

Dated events

Order

Occurred
27 Mar 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
5 Dec 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 11, 2007
Last observed: Sep 14, 2026 10 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.