DFX Intelligence
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D•••••• A•• G•••••
As of · the IAPD feed; also filed as D•••••• A•• H••••••••• A•• S•••••
- At current firm
- 21 y
- In the industry
- 39 y
- Prior registered firms
- 1
- Signals
- 0
since Jun 6, 2005
As of · the IAPD feed; also filed as D•••••• A•• H••••••••• A•• S•••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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 attractivenesssome39.8 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 ubs.com (apollo)
Movement evidence
- Movement signalsomeOne dated reason measured to go with moving: This office went from 19 to 13 registered advisors over the last year, with 7 leaving for other firms (latest 2026-04-02) (2.5x the base rate).
- Recent change activitysomeDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome3 prior firms, median stay 8.2 years. Patterns that went with staying: thirty or more years in the industry; fifteen or more years at the current firm.
Career
- 41 years in the industry
- 21.3 years at the current firm
- 3 prior registered firms; median stay 8.2 years
- retention indicatorthirty or more years in the industryAt UBS, 4.0% with this moved within a year, against 5.9% without it (0.67x, 2023 to 2025 cohorts).
- retention indicatorfifteen or more years at the current firmAt UBS, 3.9% with this moved within a year, against 6.1% without it (0.64x, 2023 to 2025 cohorts).
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 30 states (firm median 2)
- Exams: SIE, Series 63, Series 66, Series 7
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 1 of about 14 in the office left in the last 180 days
- 7 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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jun 6, 2005 · Hudson, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 11, 2002 to Jun 10, 2005 · Hudson, Oh
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jun 10, 2005, registered Jun 6, 2005 (-4 days) · Wirehouse to wirehouse
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
- 39derivedfrom 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