DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

P•••• F•••••••••

Advisor at U•• F•••••••• S••••••• I•••

NEW YORK, NY | CHICAGO, IL

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Search this name across graphsid dfx:ria:4140767a-17df-f664-1f69-73b10cb5b3b3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 9, 2022 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jan 1, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Feb 16, 2024	n/a	yes	NEW YORK, NY\|CHICAGO, IL	Current employment
J••••• M••••••••• S•••• L••	Bd affiliated wealth	Jul 9, 2022	Dec 8, 2023	no	West Hartford, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••••• M••••••••• S•••• L••	U•• F•••••••• S••••••• I•••	Dec 8, 2023	Feb 16, 2024	70	Firm change	Ibd to wirehouse

Relationships

Registered with (2)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Feb 16, 2024 to presentfactForm ADV
→ J••••• M••••••••• S•••• L••Registered adviserregistration: previous registration
Jul 9, 2022 to Dec 8, 2023factForm ADV

Dated events

Occurred
Dec 8, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4140767a-17df-f664-1f69-73b10cb5b3b3
First observed: Jul 9, 2022
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.