DFX Intelligence

S•••• P•••••• K••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

S•••• P•••••• K••••

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

DARIEN, CT

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Search this name across graphsid dfx:ria:b1eab50a-77a2-12fa-f87b-5d80afef4337

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 8, 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: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 15, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••••• M••••••••• S•••• L••	Bd affiliated wealth	May 7, 2026	n/a	yes	DARIEN, CT	Current employment
O••••••••• • C•• I•••	Bd affiliated wealth	Apr 9, 2018	May 8, 2026	no	WHITE PLAINS, NY\|NEW YORK, NY\|GREENWICH, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• • C•• I•••	J••••• M••••••••• S•••• L••	May 8, 2026	May 7, 2026	-1	Firm change	Ibd to ibd
C••••••••• F•••••••• N••••••	O••••••••• • C•• I•••	Apr 10, 2018	Apr 9, 2018

Relationships

Registered with (4)

→ J••••• M••••••••• S•••• L••Registered adviserregistration: current employment
May 7, 2026 to presentfactForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Apr 9, 2018 to May 8, 2026factForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Feb 24, 2017 to Apr 10, 2018factForm ADV
→ K••••• P•••••• W••••• S•••••••• L••

Dated events

Occurred
May 8, 2026
Advisor changed firm
S•••• P•••••• K•••• left O••••••••• • C•• I••• for J••••• M••••••••• S•••• L•• (registered 2026-05-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b1eab50a-77a2-12fa-f87b-5d80afef4337
First observed: Mar 8, 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.