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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

J••• D•••• M••••••••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

STAMFORD, CT | Washington, DC

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Search this name across graphsid dfx:ria:4cfb39bf-a574-722b-d871-2f70a0836af5

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

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 21, 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: S•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 21, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 10derivedfrom 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
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Mar 30, 2016	n/a	yes	Washington, DC\|STAMFORD, CT	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Apr 11, 2016	Dec 8, 2016	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
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	n/a	Dec 8, 2016	n/a	n/a	Departure no registered destination	Departure
W•••• F•••• A•••••••	S•••••• P••••••• I••••••••• A•••••••• L••	Mar 18, 2016	Mar 30, 2016

Relationships

Registered with (5)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Mar 30, 2016 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Apr 11, 2016 to Dec 8, 2016factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 14, 2008 to Mar 18, 2016factForm ADV
→ S••••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4cfb39bf-a574-722b-d871-2f70a0836af5
First observed: Aug 21, 2003
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.