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

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

R••• J•• C•••

Advisor at U•• F•••••••• S••••••• I•••

New York, NY | Sherman, CT | NEW YORK, NY

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Search this name across graphsid dfx:ria:c77aa77e-7987-7e37-dadf-f8f980727599

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 8, 2006 to Sep 15, 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•• F•••••••• S••••••• I•••
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: Sep 24, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 17derivedfrom 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
U•• F•••••••• S••••••• I•••	Wirehouse	Mar 6, 2009	n/a	yes	New York, NY\|Sherman, CT\|NEW YORK, NY	Current employment
M••••• S•••••• • C•• L••	n/a	Apr 2, 2007	Feb 6, 2009	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••••• S•••••• • C•• L••	U•• F•••••••• S••••••• I•••	Feb 6, 2009	Mar 6, 2009	28	Firm change	Other
M••••• S•••••• D• I•••	M••••• S•••••• • C•• L••	Apr 2, 2007

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Mar 6, 2009 to presentfactForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Feb 6, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
Sep 8, 2006 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c77aa77e-7987-7e37-dadf-f8f980727599
First observed: Sep 8, 2006
Last observed: Sep 15, 2026 7 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.