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W•••••• R••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

W•••••• R••• S••••••

Advisor at J••• M••••• S••••••••• L••

New York, NY

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Search this name across graphsid dfx:ria:2bdcc8ca-c3a8-266a-53f0-f891ee6126e4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 27, 2006 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 11, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Oct 10, 2023	n/a	yes	New York, NY	Current employment
O••••••••• • C•• I•••	Bd affiliated wealth	Jul 27, 2006	Sep 8, 2023	no	SAVANNAH, GA\|SAN FRANCISCO, CA\|ATLANTA, GA\|NEW YORK, NY\|ATLANTA, GA\|NEW YORK, NY

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• • C•• I•••	J••• M••••• S••••••••• L••	Sep 8, 2023	Oct 10, 2023	32	Firm change	Ibd to wirehouse

Relationships

Registered with (2)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Oct 10, 2023 to presentfactForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Jul 27, 2006 to Sep 8, 2023factForm ADV

Dated events

Occurred
Sep 8, 2023
Advisor changed firm
W•••••• R••• S•••••• left O••••••••• • C•• I••• for J••• M••••• S••••••••• L•• (registered 2023-10-10)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2bdcc8ca-c3a8-266a-53f0-f891ee6126e4
First observed: Jul 27, 2006
Last observed: Sep 14, 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.