DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

S•••••• H••••• G•••

Advisor at J••• M••••• S••••••••• L••

WHITE PLAINS, NY | White Plains, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fd3bda66-af4a-8b86-5697-2f977f277ed6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 31, 2002 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: wirehousederived
Book size: not public••• Locked
Industry start: Feb 4, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Oct 8, 2018	n/a	yes	WHITE PLAINS, NY\|White Plains, NY	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Oct 9, 2018	no	New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	J••• M••••• S••••••••• L••	Oct 9, 2018	Oct 8, 2018	-1	Firm change	Wirehouse to wirehouse
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:79:NY:2018-10-09	Oct 9, 2018	Oct 8, 2018	NEW YORK, NY	Firm change

Relationships

Registered with (4)

→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Jul 31, 2002 to Oct 17, 2002factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Oct 9, 2018factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Feb 19, 2009 to Jun 1, 2009factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd3bda66-af4a-8b86-5697-2f977f277ed6
First observed: Jul 31, 2002
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.