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

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RIA / WealthAdvisor39 years in industry

C•••••••• J•• M•••

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

New York, NY | Southamption, NY | STAMFORD, CT

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Search this name across graphsid dfx:ria:6941b774-42ea-6ff0-e730-819b0117dc28

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: May 15, 2006 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: 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: Aug 27, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 2derivedfrom 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	Jun 10, 2024	n/a	yes	New York, NY\|Southamption, NY\|STAMFORD, CT	Current employment
S•••••• P••••••• I••••••••• S••••••••• L••	Former SEC adviser	Feb 15, 2024	Jul 29, 2024	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
S•••••• P••••••• I••••••••• S••••••••• L••	S•••••• P••••••• I••••••••• A•••••••• L••	Jul 29, 2024	Jun 10, 2024	-49	Firm change after gap	RIA to ibd
O•••••••• M••••••••• C•••••••••	S•••••• P••••••• I••••••••• S••••••••• L••	Feb 20, 2024

Relationships

Registered with (5)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 10, 2024 to presentfactForm ADV
→ S•••••• P••••••• I••••••••• S••••••••• L••Registered adviserregistration: previous registration
Feb 15, 2024 to Jul 29, 2024factForm ADV
→ O•••••••• M••••••••• C•••••••••Registered adviserregistration: previous registration
Apr 30, 2021 to Feb 20, 2024factForm ADV
→ M• I••••••••• P•••••••• I•••

Dated events

Occurred
Jul 29, 2024
Advisor changed firm
C•••••••• J•• M••• left S•••••• P••••••• I••••••••• S••••••••• L•• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-06-10)
Form ADVobserved 7 days ago
Occurred
Feb 20, 2024
Advisor changed firm
C•••••••• J•• M••• left O•••••••• M••••••••• C••••••••• for S•••••• P••••••• I••••••••• S••••••••• L•• (registered 2024-02-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6941b774-42ea-6ff0-e730-819b0117dc28
First observed: May 15, 2006
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.