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R••••• S••••••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

R••••• S••••••• B••••

Advisor at J••••• M••••••••• S•••• L••

West Hartford, CT

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Search this name across graphsid dfx:ria:9e1f10c4-586f-bc57-5feb-98319d86ac28

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2002 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: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 20, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 12derivedfrom 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
J••••• M••••••••• S•••• L••	Bd affiliated wealth	Oct 3, 2013	n/a	yes	West Hartford, CT	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Mar 8, 2006	Oct 4, 2013	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
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	J••••• M••••••••• S•••• L••	Oct 4, 2013	Oct 3, 2013	-1	Firm change	Other
A•••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Mar 8, 2006

Relationships

Registered with (5)

→ J••••• M••••••••• S•••• L••Registered adviserregistration: current employment
Oct 3, 2013 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Mar 8, 2006 to Oct 4, 2013factForm ADV
→ A•••••• I•••Registered adviserregistration: previous registration
Feb 25, 2005 to Mar 8, 2006factForm ADV
→ W•••• F•••• A•••••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9e1f10c4-586f-bc57-5feb-98319d86ac28
First observed: Jan 2, 2002
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.