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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)14 years in industry

J••••• M•••••• M•••••

Advisor at C••••• P••••••• L••

NEW YORK, NY | Saratoga Springs, 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:354ef0f9-8816-4032-cd93-b25ed8581c9b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Nov 23, 2016 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••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms

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
C••••• P••••••• L••	Independent wealth	Feb 29, 2024	n/a	yes	NEW YORK, NY\|Saratoga Springs, NY	Current employment
G•••••• S•••• W••••• S•••••••• L•••	Bd affiliated wealth	Oct 23, 2023	Mar 1, 2024	no

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
G•••••• S•••• W••••• S•••••••• L•••	C••••• P••••••• L••	Mar 1, 2024	Feb 29, 2024	-1	Firm change	Ibd to RIA
U••••• C•••••• F•••••••• A•••••••	G•••••• S•••• W••••• S•••••••• L•••	Oct 24, 2023

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
106693:151559:NY:2024-03-01	Mar 1, 2024	Feb 29, 2024	COHOES, NY	Firm change
134600:106693:NY:2023-10-24	Oct 24, 2023	Oct 23, 2023	COHOES, NY	Firm change
106693:134600:NY:2020-12-23	Dec 23, 2020	Jan 4, 2021	COHOES, NY	Firm change

Relationships

Registered with (3)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Feb 29, 2024 to presentfactForm ADV
→ G•••••• S•••• W••••• S•••••••• L•••Registered adviserregistration: previous registration
Oct 23, 2023 to Mar 1, 2024factForm ADV
→ U••••• C•••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Jan 4, 2021 to Oct 24, 2023factForm ADV

Dated events

Occurred
Mar 1, 2024
Advisor changed firm
J••••• M•••••• M••••• left G•••••• S•••• W••••• S•••••••• L••• for C••••• P••••••• L•• (registered 2024-02-29)
Form ADVobserved 7 days ago
Occurred
Oct 24, 2023
Advisor changed firm
J••••• M•••••• M••••• left U••••• C•••••• F•••••••• A••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2023-10-23)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:354ef0f9-8816-4032-cd93-b25ed8581c9b
First observed: Nov 23, 2016
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.