DFX Intelligence

S••••• H••••••• B•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

S••••• H••••••• B•••••••••

Advisor at J••• M••••• S••••••••• L••

New York, NY

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Search this name across graphsid dfx:ria:129c7d5b-2636-f16d-2426-cb7d488d391e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 12, 2015 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: wirehousederived
Book size: not public••• Locked
Industry start: Sep 26, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Oct 28, 2022	n/a	yes	New York, NY	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Nov 27, 2015	Oct 3, 2022	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	J••• M••••• S••••••••• L••	Oct 3, 2022	Oct 28, 2022	25	Firm change	Wirehouse to wirehouse
C••••• S••••• S••••••••• •••• L••	U•• F•••••••• S••••••• I•••	Dec 18, 2015	Nov 27, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:79:NY:2022-10-03	Oct 3, 2022	Oct 28, 2022	NEW YORK, NY	Firm change

Relationships

Registered with (3)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Oct 28, 2022 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Nov 27, 2015 to Oct 3, 2022factForm ADV
→ C••••• S••••• S••••••••• •••• L••Registered adviserregistration: previous registration
Oct 12, 2015 to Dec 18, 2015factForm ADV

Dated events

Occurred
Oct 3, 2022
Advisor changed firm
S••••• H••••••• B••••••••• left U•• F•••••••• S••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-10-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:129c7d5b-2636-f16d-2426-cb7d488d391e
First observed: Oct 12, 2015
Last observed: Sep 14, 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.