DFX Intelligence

RIA 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.

E•••••• B•••• M••••••••

Registered advisorat C••••••••• F•••••••• N••••••Dual registrant· Wilmington, NcIAPD 1140190
At current firm
16 y
since Jan 15, 2010
In the industry
43 y
Prior registered firms
2
Signals
0
As of · the IAPD feed; also filed as E•••••• B•••• M••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
  • Practice attractivenesssome
    43.2 years in the industry
  • Team depthnone
    0 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 profilenone
    Details are shown to subscribers.
  • Real estate activitynone
    Details are shown to subscribers.
  • Contactabilityweak
    Published: no published contact point.
Movement evidence
  • Movement signalnone
    0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Elevated band.
  • Recent change activitynone
    Details are shown to subscribers.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitysome
    2 prior firms, median stay 3.4 years.
Career
  • 43.2 years in the industry
  • 16.7 years at the current firm
  • 2 prior registered firms; median stay 3.4 years
  • weak retention associationfifteen or more years at the current firmAt Commonwealth, 8.3% with this moved within a year, against 10.6% without it (0.79x, 2023 to 2025 cohorts).
  • weak retention associationthirty or more years in the industryAt Commonwealth, 8.3% with this moved within a year, against 10.7% without it (0.78x, 2023 to 2025 cohorts).
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
  • Registered in 2 states (firm median 1)
  • Exams: Series 63, Series 65, Series 66
  • 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
  • 1 of about 18 in the office left in the last 180 days
  • 8 known colleagues changed firms in the last year
  • 1 went to an independent RIA in the last 180 days
Regulatory record

Shown to subscribers, with the official record linked.

Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
No dated event on this person.
Transition signals

Mobility scoring is not published yet.

Provenance
Source
IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class
National broker-dealer RIAderived
Years in industry
43derivedfrom 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