DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

A•••••• J••••• D••••••

Advisor at W••••••••• S•••••• • C••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:cb8f293a-c427-4300-1e0e-27d2bb350584

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 2, 2010 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: W••••••••• S•••••• • C••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 24, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• S•••••• • C••• L••	Independent wealth	Sep 3, 2021	n/a	yes	NEW YORK, NY	Current employment
R•• C•••••• M••••••• L••	National bd RIA	Jun 2, 2010	May 27, 2015	no	NEW YORK, NY\|NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• C•••••• M••••••• L••	W••••••••• S•••••• • C••• L••	May 27, 2015	Sep 3, 2021	2,291	Firm change after gap	Ibd to RIA

Relationships

Registered with (2)

→ W••••••••• S•••••• • C••• L••Registered adviserregistration: current employment
Sep 3, 2021 to presentfactForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Jun 2, 2010 to May 27, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb8f293a-c427-4300-1e0e-27d2bb350584
First observed: Jun 2, 2010
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.