DFX Intelligence

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

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

R••••• J••• S•••••

Advisor at N•• E••• W•••••

STAMFORD, CT | DARIEN, CT

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Search this name across graphsid dfx:ria:6d4ddc87-359a-8739-cf87-d219ec674f55

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 23, 2002 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: N•• E••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 2, 1996earliest 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: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• E••• W•••••	Bd affiliated wealth	Dec 11, 2020	n/a	yes	DARIEN, CT\|STAMFORD, CT	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Sep 19, 2008	Dec 22, 2020	no	NEW YORK, NY\|New Canaan, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	N•• E••• W•••••	Dec 22, 2020	Dec 11, 2020	-11	Firm change	Wirehouse to new firm
L••••• B••••••• I•••	U•• F•••••••• S••••••• I•••	Oct 2, 2008	Sep 19, 2008

Relationships

Registered with (4)

→ N•• E••• W•••••Registered adviserregistration: current employment
Dec 11, 2020 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Sep 19, 2008 to Dec 22, 2020factForm ADV
→ L••••• B••••••• I•••Registered adviserregistration: previous registration
Sep 24, 2003 to Oct 2, 2008factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6d4ddc87-359a-8739-cf87-d219ec674f55
First observed: May 23, 2002
Last observed: Sep 14, 2026 9 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.