DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)28 years in industry

J•••••• A••• S•••••

Advisor at C••••••• S••••••••• I•••

WESTWOOD, MA | TARRYTOWN, NY

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Search this name across graphsid dfx:ria:21ec1cbb-a947-0f2e-de9e-c958ad8dd63f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 3, 2002 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••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 29, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• S••••••••• I•••	Bd affiliated wealth	Nov 27, 2024	n/a	yes	TARRYTOWN, NY\|WESTWOOD, MA	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Jun 8, 2020	Apr 29, 2024	no	Stamford, CT\|TAMPA, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	C••••••• S••••••••• I•••	Apr 29, 2024	Nov 27, 2024	212	Firm change	Ibd to ibd
O••••••••• A•••• M•••••••••	C•••••••• G••••• M•••••• I•••	May 8, 2020	Jun 8, 2020

Relationships

Registered with (4)

→ C••••••• S••••••••• I•••Registered adviserregistration: current employment
Nov 27, 2024 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jun 8, 2020 to Apr 29, 2024factForm ADV
→ O••••••••• A•••• M•••••••••Registered adviserregistration: previous registration
Jul 15, 2013 to May 8, 2020factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

Occurred
Apr 29, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:21ec1cbb-a947-0f2e-de9e-c958ad8dd63f
First observed: Jun 3, 2002
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.