DFX Intelligence

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

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

M••••• A•• D••••••

Advisor at J••••• M••••••••• S•••• L••

Warwick, RI

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Search this name across graphsid dfx:ria:47c4ca53-2e32-fde6-1a59-ea603f202544

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 17, 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: J••••• M••••••••• S•••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 29, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••••• M••••••••• S•••• L••	Bd affiliated wealth	May 29, 2009	n/a	yes	Warwick, RI	Current employment
B••• O• A•••••• I••••••••• S•••••••• I•••	n/a	Sep 22, 2005	Jun 1, 2009	no	PROVIDENCE, RI\|LINCOLN, RI\|LINCOLN, RI\|SANTA BARBARA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• O• A•••••• I••••••••• S•••••••• I•••	J••••• M••••••••• S•••• L••	Jun 1, 2009	May 29, 2009	-3	Firm change	Other
C•••••••• G••••• M•••••• I•••	B••• O• A•••••• I••••••••• S•••••••• I•••	May 20, 2005	Sep 22, 2005

Relationships

Registered with (3)

→ J••••• M••••••••• S•••• L••Registered adviserregistration: current employment
May 29, 2009 to presentfactForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 22, 2005 to Jun 1, 2009factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Dec 17, 2003 to May 20, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:47c4ca53-2e32-fde6-1a59-ea603f202544
First observed: Dec 17, 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.