DFX Intelligence
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This advisor's name
Career history, every move, licensing and registration changes, outside business activity and the contact routes the firm publishes, each with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
A Financial Advisor In Massachusetts
As of · the IAPD feed
- In the industry
- 41.8 y
- Prior registered firms
- 0
- Signals
- 0
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- Holds supervisory licences (Series 26); may hold a management rather than a producing role.
Recruiting value
- Practice attractivenesssome41.6 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 profilenoneNamed in the full brief.
- Real estate activitynoneNamed in the full brief.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalsome1 of 1 dated or circumstantial reading historically went with moving: an advisor with 5+ years in the industry added the Series 65 or 66 in the prior year. The forward-tested move model places this advisor in its Baseline band.
- Recent change activitynotableNamed in the full brief.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 2.5 years. Patterns that went with staying: thirty or more years in the industry.
Dated changes and circumstances, and what they have meant historically
- move indicatorAn advisor with 5+ years in the industry added the Series 65 or 66 in the prior yearAt broker-dealer affiliated firms, 8.9% with this moved within a year, against 5.3% without it (1.68x, 2023 to 2025 cohorts).
Career
- 41.8 years in the industry
- 36.8 years at the current firm
- 2 prior registered firms; median stay 2.5 years
- retention indicatorthirty or more years in the industryAt broker-dealer affiliated firms, 3.1% with this moved within a year, against 5.8% without it (0.53x, 2023 to 2025 cohorts).
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 16 states (firm median 2); added MA, TX in the last 180 days
- Exams: SIE, Series 26, Series 6, Series 63, Series 65, Series 7
- Supervisory exams: Series 26
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- No recent movement observed around this advisor.
Regulatory record
1 item on the official record, in the full brief.
+7 details in the full brief
The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
Registration history
IAPD current and previous registrations
- Osaic Wealth, Inc. BD affiliated currentsince Jul 29, 2026 · Gloucester, Ma
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41.8 yderivedfrom the SEC's own industry start on the per-person IAPD record
- 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