DFX Intelligence
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B•••• L••• K•••••••
As of · the IAPD feed; also filed as B•••• L• K•••••••
- At current firm
- 17 y
- In the industry
- 41 y
- Prior registered firms
- 1
- Signals
- 0
since Jan 12, 2009
As of · the IAPD feed; also filed as B•••• L• K•••••••
State registrations
1
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
Recruiting value
- Practice attractivenesssomepersonal book $25M to $250M (estimated); 41.5 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.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalsome1 of 2 dated or circumstantial readings historically went with moving: two or more known colleagues moved in the prior 180 days. 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 mobilitynone1 prior firm, median stay 11.6 years. Patterns that went with staying: thirty or more years in the industry; median tenure at prior firms eight years or more; fifteen or more years at the current firm.
Dated changes and circumstances, and what they have meant historically
- move indicatorTwo or more known colleagues moved in the prior 180 daysAt national broker-dealer RIAs, 5.0% with this moved within a year, against 3.8% without it (1.30x, 2023 to 2025 cohorts).
- weak move associationA known colleague moved to an independent RIA in the prior 180 daysAt national broker-dealer RIAs, 4.7% with this moved within a year, against 3.9% without it (1.23x, 2023 to 2025 cohorts).
Career
- 41.5 years in the industry
- 17.7 years at the current firm
- 1 prior registered firm; median stay 11.6 years
- Path: wirehouse to national broker-dealer RIA
- Personal book $25M to $250M (estimated)
- retention indicatorthirty or more years in the industryAt national broker-dealer RIAs, 2.5% with this moved within a year, against 4.1% without it (0.62x, 2023 to 2025 cohorts).
- retention indicatormedian tenure at prior firms eight years or moreAt national broker-dealer RIAs, 3.5% with this moved within a year, against 5.9% without it (0.58x, 2023 to 2025 cohorts).
- retention indicatorfifteen or more years at the current firmAt national broker-dealer RIAs, 1.9% with this moved within a year, against 4.4% without it (0.43x, 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, Series 65
- 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
- 2 of about 13 in the office left in the last 180 days
- 5 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
- R•• C•••••• M••••••• L•• national BD currentsince Jan 12, 2009 · Fresno, Ca
- C•••••••• G••••• M•••••• I••• bank affiliatedJul 8, 1997 to Jan 29, 2009 · Fresno, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Jan 29, 2009, registered Jan 12, 2009 (-17 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
- National broker-dealer RIAderived
- Years in industry
- 41derivedfrom 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