DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industrynot currently registered

N••••• J•••• F•••••••

Advisor at S•••••••• A••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:65aec732-09f9-2265-26d2-0def6deaab10

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 0
Observed: Aug 1, 2015 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•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Current registrations: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Dec 16, 2025	n/a	yes	NEW YORK, NY\|NEW YORK CITY, NY	Current employment

Relationships

Registered with (1)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Dec 16, 2025 to presentfactForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

First seen by DFX
Sep 16, 2026
date not stated
N••••• J•••• F••••••• no longer holds an investment adviser registration (last listed at S•••••••• A••••••• L•• on the 2026-09-15 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65aec732-09f9-2265-26d2-0def6deaab10
First observed: Aug 1, 2015
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.