DFX Intelligence

Data Factory

S•••••• M••• 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)33 years in industry

S•••••• M••• S•••••••

Advisor at R•••••• J•••• • A••••••••• I•••

CORAL GABLES, FL

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:3fdb7c5d-f7a0-9c08-bf6f-06a525a6323b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 1, 1997 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 18, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Jun 3, 2020	n/a	yes	CORAL GABLES, FL\|CORAL GABLES, FL	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jan 1, 2010	Jun 12, 2020	no	CORAL GABLES, FL\|Fort Lauderdale, FL\|San Juan, PR\|CORAL GABLES, FL\|Coral Gables, FL\|Coral Gables, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	R•••••• J•••• • A••••••••• I•••	Jun 12, 2020	Jun 3, 2020	-9	Firm change	Wirehouse to ibd
U•• I••••••••• I•••	U•• F•••••••• S••••••• I•••	Jan 1, 2010	Jan 1, 2010

Relationships

Registered with (3)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Jun 3, 2020 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jan 1, 2010 to Jun 12, 2020factForm ADV
→ U•• I••••••••• I•••Registered adviserregistration: previous registration
Jun 3, 2002 to Jan 1, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3fdb7c5d-f7a0-9c08-bf6f-06a525a6323b
First observed: Aug 1, 1997
Last observed: Sep 14, 2026 8 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.