DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

J•••• P•••• W••••

Advisor at N•• E••• W•••••

Stamford, CT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 13, 2003 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: N•• E••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 22, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• E••• W•••••	Bd affiliated wealth	Apr 29, 2022	n/a	yes	Stamford, CT	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Sep 19, 2013	May 12, 2022	no	NEW YORK, NY\|Pound Ridge, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	N•• E••• W•••••	May 12, 2022	Apr 29, 2022	-13	Firm change	Wirehouse to RIA
J••• M••••• S••••••••• L••	U•• F•••••••• S••••••• I•••	Oct 16, 2013	Sep 19, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:307771:NY:2022-05-10	May 12, 2022	Apr 29, 2022	POUND RIDGE, NY	Firm change

Relationships

Registered with (4)

→ N•• E••• W•••••Registered adviserregistration: current employment
Apr 29, 2022 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Sep 19, 2013 to May 12, 2022factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Dec 7, 2004 to Oct 16, 2013factForm ADV
→ W•••• F•••• A•••••••

Dated events

Order

Occurred
12 May 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 13, 2003
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.