DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

J••••••• S•••••

Advisor at P••••••••• • A• E••••••••• C••••••

Leominster, MA | OWINGS MILLS, MD

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Search this name across graphsid dfx:ria:d0c4d46a-34de-f464-78dd-6b81bf9e5d29

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 6, 2020 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: P••••••••• • A• E••••••••• C••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••••• • A• E••••••••• C••••••	Independent wealth	Sep 7, 2025	n/a	yes	OWINGS MILLS, MD\|Leominster, MA	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Mar 24, 2022	Sep 25, 2025	no	WAKEFIELD, MA\|Leominster, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	P••••••••• • A• E••••••••• C••••••	Sep 25, 2025	Sep 7, 2025	-18	Firm change	Ibd to RIA
S••••••• F•••••••• S•••••••• I•••	M•• I•••••••• S•••••••• L••	Jun 15, 2021	Mar 24, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
10409:133777:MA:2025-09-25	Sep 25, 2025	Sep 7, 2025	LEOMINSTER, MA	Firm change

Relationships

Registered with (3)

→ P••••••••• • A• E••••••••• C••••••Registered adviserregistration: current employment
Sep 7, 2025 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 24, 2022 to Sep 25, 2025factForm ADV
→ S••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 6, 2020 to Jun 15, 2021factForm ADV

Dated events

Occurred
Sep 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d0c4d46a-34de-f464-78dd-6b81bf9e5d29
First observed: Oct 6, 2020
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.