DFX Intelligence

A••••••••• P• L•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

A••••••••• P• L•••••••

Advisor at J••••• M••••••••• S•••• L••

DARIEN, CT

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Search this name across graphsid dfx:ria:11756b19-003c-7203-35a0-defc975d954c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 14, 2009 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: J••••• M••••••••• S•••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••••• M••••••••• S•••• L••	Bd affiliated wealth	Jan 28, 2019	n/a	yes	DARIEN, CT	Current employment
O••••••••• • C•• I•••	Bd affiliated wealth	Jul 14, 2009	Feb 1, 2019	no	STAMFORD, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• • C•• I•••	J••••• M••••••••• S•••• L••	Feb 1, 2019	Jan 28, 2019	-4	Firm change	Ibd to ibd

Relationships

Registered with (2)

→ J••••• M••••••••• S•••• L••Registered adviserregistration: current employment
Jan 28, 2019 to presentfactForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Jul 14, 2009 to Feb 1, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11756b19-003c-7203-35a0-defc975d954c
First observed: Jul 14, 2009
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.