DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

A•••••• J• L•••••

Advisor at U•• A•••• M••••••••• ••••••••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:a03c962c-44f7-2ec9-14fa-e15727b747b4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2012 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: U•• A•••• M••••••••• ••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Jun 30, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom 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
U•• A•••• M••••••••• ••••••••• L••	Mixed wealth	Aug 11, 2020	n/a	yes	NEW YORK, NY	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Dec 20, 2012	Aug 10, 2020	no	NEW YORK, NY\|WEEHAWKEN, NJ\|WEEHAWKEN, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	U•• A•••• M••••••••• ••••••••• L••	Aug 10, 2020	Aug 11, 2020	1	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:106838:NJ:2020-08-10	Aug 10, 2020	Aug 11, 2020	WEEHAWKEN, NJ	Firm change

Relationships

Registered with (2)

→ U•• A•••• M••••••••• ••••••••• L••Registered adviserregistration: current employment
Aug 11, 2020 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Dec 20, 2012 to Aug 10, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a03c962c-44f7-2ec9-14fa-e15727b747b4
First observed: Dec 20, 2012
Last observed: Sep 14, 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.