DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

S•••• J••••• K••••

Advisor at M•• I•••••••• S•••••••• L••

Woodbury, NY

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Search this name across graphsid dfx:ria:9403643c-d5c4-a2b5-801f-dc1e0a343ed1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 17, 2009 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: M•• I•••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 23, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Mar 19, 2020	n/a	yes	Woodbury, NY	Current employment
E••••• J••••	National bd RIA	Jun 17, 2009	Nov 30, 2011	no	ST LOUIS, MO\|NEW YORK, NY\|BELLMORE, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	M•• I•••••••• S•••••••• L••	Nov 30, 2011	Mar 19, 2020	3,032	Firm change after gap	Ibd to ibd

Relationships

Registered with (2)

→ M•• I•••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 19, 2020 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jun 17, 2009 to Nov 30, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9403643c-d5c4-a2b5-801f-dc1e0a343ed1
First observed: Jun 17, 2009
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.