DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

J••••• L••••• L••••

Advisor at C•••••••• G••••• M•••••• I•••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 19, 2000 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: C•••••••• G••••• M•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 26, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	May 29, 2007	n/a	yes	New York, NY\|Mamaroneck, NY\|New York, NY\|Rye, NY	Current employment
C••••••• I••••••••• S•••••••	n/a	Nov 13, 2006	May 29, 2007	no	HARRISON, NY\|YONKERS, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• I••••••••• S•••••••	C•••••••• G••••• M•••••• I•••	May 29, 2007	May 29, 2007	0	Bulk transfer	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C••••••• I••••••••• S•••••••	Feb 3, 2005	Nov 13, 2006

Relationships

Registered with (3)

→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: current employment
May 29, 2007 to presentfactForm ADV
→ C••••••• I••••••••• S•••••••Registered adviserregistration: previous registration
Nov 13, 2006 to May 29, 2007factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
May 19, 2000 to Feb 3, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 19, 2000
Last observed: Sep 15, 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.