DFX Intelligence

C•••• N• M•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

C•••• N• M•••••••

Advisor at M•• I•••••••• S•••••••• L••

Tarrytown, NY | EASTON, CT

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Search this name across graphsid dfx:ria:11c48fb5-77b6-1c41-03b2-a4c526f13001

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2017 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: M•• I•••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Jan 20, 2022	n/a	yes	Tarrytown, NY\|EASTON, CT	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Nov 8, 2017	Dec 20, 2021	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	M•• I•••••••• S•••••••• L••	Dec 20, 2021	Jan 20, 2022	31	Firm change	Wirehouse to ibd

Relationships

Registered with (2)

→ M•• I•••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 20, 2022 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Nov 8, 2017 to Dec 20, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11c48fb5-77b6-1c41-03b2-a4c526f13001
First observed: Nov 8, 2017
Last observed: Sep 15, 2026 7 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.