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J•••• R•••••• A••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

J•••• R•••••• A••••••

Advisor at W•••• F•••• A•••••••

NEW ROCHELLE, NY | WESTPORT, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:692569c8-845a-bb49-3811-1c90c5515511

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 23, 2016 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 24, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

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
W•••• F•••• A•••••••	Wirehouse	Mar 15, 2019	n/a	yes	WESTPORT, CT\|NEW ROCHELLE, NY	Current employment
M••••• S••••••	Wirehouse	Feb 23, 2016	Mar 6, 2019	no	Greenwich, CT

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
M••••• S••••••	W•••• F•••• A•••••••	Mar 6, 2019	Mar 15, 2019	9	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:19616:CT:2019-02-22	Mar 6, 2019	Mar 15, 2019	GREENWICH, CT	Firm change

Relationships

Registered with (2)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Mar 15, 2019 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Feb 23, 2016 to Mar 6, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:692569c8-845a-bb49-3811-1c90c5515511
First observed: Feb 23, 2016
Last observed: Sep 15, 2026 7 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.