DFX Intelligence

M•••••• R•••• K••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

M•••••• R•••• K••••

Advisor at J••• M••••• S••••••••• L••

New York, NY

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Search this name across graphsid dfx:ria:2fe6230a-c6a7-a98d-6c8b-0fc324cef637

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 12, 2011 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: May 10, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom 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
J••• M••••• S••••••••• L••	Wirehouse	May 27, 2022	n/a	yes	New York, NY	Current employment
W••••••••• A•••••••	Former SEC adviser	Sep 1, 2021	May 27, 2022	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••••• A•••••••	J••• M••••• S••••••••• L••	May 27, 2022	May 27, 2022	0	Firm change	RIA to wirehouse
L•••• A•••••••• I•••	M•• I•••••••• S•••••••• L••	Sep 5, 2018	Jan 27, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
158380:79:NY:2022-05-27	May 27, 2022	May 27, 2022	NEW YORK, NY	Firm change

Relationships

Registered with (4)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
May 27, 2022 to presentfactForm ADV
→ W••••••••• A•••••••Registered adviserregistration: previous registration
Sep 1, 2021 to May 27, 2022factForm ADV
→ L•••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 12, 2011 to Sep 5, 2018factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviser

Dated events

Occurred
May 27, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2fe6230a-c6a7-a98d-6c8b-0fc324cef637
First observed: Jul 12, 2011
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.