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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

S••• J•••• T••••••

Advisor at C•••••••• G••••• M•••••• I•••

New York, NY | NEW YORK, NY | Chester, NY

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Search this name across graphsid dfx:ria:636c31f4-69a9-36a3-0d61-6ecb139807ed

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 12, 2004 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•••••••• G••••• M•••••• I•••
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: May 20, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom 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•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Aug 17, 2021	n/a	yes	New York, NY\|New York, NY\|NEW YORK, NY\|Chester, NY	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Oct 1, 2012	Oct 9, 2014	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
J••• M••••• S••••••••• L••	C•••••••• G••••• M•••••• I•••	Oct 9, 2014	Aug 17, 2021	2,504	Firm change after gap	Wirehouse to ibd
C•••• I••••••••• S••••••• C••••	J••• M••••• S••••••••• L••	Oct 1, 2012

Relationships

Registered with (3)

→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: current employment
Aug 17, 2021 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to Oct 9, 2014factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Jul 12, 2004 to Oct 1, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:636c31f4-69a9-36a3-0d61-6ecb139807ed
First observed: Jul 12, 2004
Last observed: Sep 15, 2026 6 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.