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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

J••• L•••••••

Advisor at S••••• W••••• A•••••••• I•••

New York, NY

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Search this name across graphsid dfx:ria:9bfb684d-3f21-8ef0-fe64-f1418f6ddbc0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2013 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: S••••• W••••• A•••••••• I•••
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 21, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom 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••••• W••••• A•••••••• I•••	No RAUM reported	Dec 9, 2025	n/a	yes	New York, NY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Aug 1, 2024	Sep 10, 2025	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
L•• F•••••••• L••	S••••• W••••• A•••••••• I•••	Sep 10, 2025	Dec 9, 2025	90	Firm change	Other
O•••• F•• I•••	L•• F•••••••• L••	May 17, 2024

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
41791:39550:MA:2016-06-03	Jun 9, 2016	Jun 13, 2016	PLYMOUTH, MA	Firm change

Relationships

Registered with (7)

→ S••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Dec 9, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 1, 2024 to Sep 10, 2025factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
May 29, 2019 to May 17, 2024factForm ADV
→ C••••••• S••••••••• I•••

Dated events

Occurred
Sep 10, 2025
Advisor changed firm
J••• L••••••• left L•• F•••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2025-12-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9bfb684d-3f21-8ef0-fe64-f1418f6ddbc0
First observed: Jan 3, 2013
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.