DFX Intelligence
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C••••••••• A••• M••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Pittsford, NyIAPD 1232109
As of · the IAPD feed; also filed as C•••• M••••••••• A• M••••••••• M••••
- At current firm
- 7 y
- In the industry
- 37 y
- Prior registered firms
- 0
- Signals
- 0
since Nov 9, 2018
As of · the IAPD feed; also filed as C•••• M••••••••• A• M••••••••• M••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 attractivenesssome34.2 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.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone0 prior firms. Patterns that went with staying: thirty or more years in the industry.
Career
- 34.2 years in the industry
- 7.9 years at the current firm
- 0 prior registered firms
- retention indicatorthirty or more years in the industryAt Merrill, 1.8% with this moved within a year, against 6.6% without it (0.27x, 2023 to 2025 cohorts).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 31 states (firm median 2)
- Exams: SIE, Series 31, Series 63, Series 65, Series 7
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 2 of about 60 in the office left in the last 180 days
Regulatory record
Shown to subscribers, with the official record linked.
Outside business and networkWhat is shown hereEvery item is the advisor’s own outside-business disclosure on Form U4, read from the IAPD feed, so the link between the advisor and the company is theirs, not DFX’s guess. Each company is then looked up in public records (state registries, SEC Form D, the IRS exempt-organisation file, SBA loans, Form ADV, assessor rolls), and every fact on its page names its record. Personal items (a trusteeship for a relative, a home, a side job) and every address are left out. People connected through these companies are observed business connections, never assumed clients.
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
- 4 disclosed outside organisations
- Board, trustee or officer seat at 3
Why it may matter
- notableCommunity and board roles3 board, trustee or officer roles in outside organisations.
- F••••••• B•••••• H••• F•••••••••NonprofitOfficer, Chair · since 2021-06-01
Charitable Organization (the advisor's own disclosure)
Holds a management or partner role in a nonprofit.
self-disclosed on Form U4 - Director · since 2007-07-01
Raises money to drill wells providing clean drinking water in South Sudan (the advisor's own disclosure)
Sits on the board or serves as an officer of a nonprofit.
self-disclosed on Form U4 - Other role · since 2021-01-01
Umbrella organization for E•••••••• churches in R•••••••• and the Finger Lakes (the advisor's own disclosure)
Involved with a religious organisation.
self-disclosed on Form U4 - S•• P••••• E•••••••• C•••••Religious organisationOther role, Chair · since 2020-01-01
C••••• (the advisor's own disclosure)
Holds a management or partner role in a religious organisation.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 9, 2018 · Pittsford, Ny
Moves
a registration end followed by a registration begin elsewhere
No firm change on the tape.
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
- Wirehousederived
- Years in industry
- 37derivedfrom 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