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M•••••• N•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

M•••••• N•••••••

Advisor at J••• M••••• S••••••••• L••

Denver, CO

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Search this name across graphsid dfx:ria:9ca7e3df-1d4a-5f14-a791-c36eb483a0d3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 30, 2016 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: J••• M••••• S••••••••• L••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

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
J••• M••••• S••••••••• L••	Wirehouse	Feb 1, 2023	n/a	yes	Denver, CO	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Nov 3, 2020	Jan 31, 2023	no	Denver, CO\|DENVER, CO\|DENVER, CO

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
U•• F•••••••• S••••••• I•••	J••• M••••• S••••••••• L••	Jan 31, 2023	Feb 1, 2023	1	Firm change	Wirehouse to wirehouse
N••••••••• M••••• I••••••••• S•••••••••	U•• F•••••••• S••••••• I•••	Sep 12, 2020

Relationships

Registered with (4)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Feb 1, 2023 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Nov 3, 2020 to Jan 31, 2023factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Jan 25, 2019 to Sep 12, 2020factForm ADV
→ S•••• C•••• G••••• L••

Dated events

Occurred
Jan 31, 2023
Advisor changed firm
M•••••• N••••••• left U•• F•••••••• S••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-02-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ca7e3df-1d4a-5f14-a791-c36eb483a0d3
First observed: Jun 30, 2016
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.