DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

J••••• A•••••• C•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

SOUTHBURY, CT | Stamford, CT

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Search this name across graphsid dfx:ria:79109e6c-04d7-d500-881d-5b9667517495

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 9, 2009 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 25, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jun 28, 2018	n/a	yes	SOUTHBURY, CT\|Stamford, CT	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Oct 1, 2012	Jun 27, 2018	no	STAMFORD, CT\|OLD GREENWICH, CT\|STAMFORD, CT\|STAMFORD, CT\|COS COB, CT\|OLD GREENWICH, CT\|OLD GREENWICH, CT\|STAMFORD, CT\|STAMFORD, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	A••••••••• F•••••••• S•••••••• L••	Jun 27, 2018	Jun 28, 2018	1	Firm change	Wirehouse to ibd
C•••• I••••••••• S••••••• C••••	J••• M••••• S••••••••• L••	Oct 1, 2012	Oct 1, 2012

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 28, 2018 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to Jun 27, 2018factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Dec 9, 2009 to Oct 1, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:79109e6c-04d7-d500-881d-5b9667517495
First observed: Dec 9, 2009
Last observed: Sep 15, 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.