DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
R•••••• E•••• T••••
As of · the IAPD feed
- At current firm
- 15 y
- In the industry
- 31 y
- Prior registered firms
- 3
- Signals
- 0
since Jul 29, 2011
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Recruiter briefHow to read thisEvery line is a fact from a public record, or a measurement DFX made on the registration history of every advisor (2023 to 2025 cohorts), read for this advisor’s own firm where the sample allows. A move indicator means advisors with that fact moved more often; a retention indicator means they moved less. Neither says what this person will do. Recruiting value and movement evidence are kept apart on purpose.
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
- Practice attractivenesssome31.5 years in the industry
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilitystrongverified business email at lpl.com (apollo)
Movement evidence
- Movement signalnone0 of 1 dated or circumstantial reading historically went with moving. The forward-tested move model places this advisor in its Elevated band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 2.2 years. Patterns that went with staying: thirty or more years in the industry; fifteen or more years at the current firm.
Dated changes and circumstances, and what they have meant historically
- weak move association20%+ of the office left in the prior 180 daysAt LPL, 7.0% with this moved within a year, against 4.0% without it (1.75x, 2023 to 2025 cohorts).
Career
- 31.5 years in the industry
- 15.2 years at the current firm
- 2 prior registered firms; median stay 2.2 years
- Path: wirehouse to broker-dealer affiliated
- retention indicatorthirty or more years in the industryAt LPL, 2.1% with this moved within a year, against 4.4% without it (0.48x, 2023 to 2025 cohorts).
- retention indicatorfifteen or more years at the current firmAt LPL, 1.7% with this moved within a year, against 4.5% without it (0.38x, 2023 to 2025 cohorts).
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
- Registered in 1 state (firm median 2)
- Exams: Series 63
- Registered as a broker as well as an adviser
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
- 15 of about 41 in the office left in the last 180 days
- 16 known colleagues changed firms in the last year
Regulatory record
Shown to subscribers, with the official record linked.
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 29, 2011 · Roseville, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 5, 2011 · Roseville, Ca
- M••••• S•••••• • C•• L•• unclassifiedJul 25, 2008 to Jun 1, 2009 · Roseville, Ca
- W•••• F•••• A••••••• wirehouseMay 13, 2003 to Jul 30, 2008 · Roseville, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to L•• F•••••••• L••left Aug 5, 2011, registered Jul 29, 2011 (-7 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Jul 30, 2008, registered Jul 25, 2008 (-5 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote