DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

P••• J•••• S••••

Advisor at S•••••• S•••• L••••••

TARRYTOWN, NY

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 graphsid dfx:ria:238785dd-dfc0-f052-244e-d40da572a948

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 27, 2004 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•••••• S•••• L••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Jan 18, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• S•••• L••••••	State registered	Dec 18, 2025	n/a	yes	TARRYTOWN, NY	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Mar 15, 2017	n/a	yes	TARRYTOWN, NY	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	O•••• W•••••• I•••	Mar 8, 2006	Mar 15, 2017	4,025	Firm change after gap	Other

Relationships

Registered with (3)

→ S•••••• S•••• L••••••Registered adviserregistration: current employment
Dec 18, 2025 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: current employment
Mar 15, 2017 to presentfactForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
May 27, 2004 to Mar 8, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:238785dd-dfc0-f052-244e-d40da572a948
First observed: May 27, 2004
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.