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Registered advisorat U•• F•••••••• S••••••• I•••Dual registrant· Winston-Salem, Nc IAPD 1754691
At current firm
17 y
since Apr 20, 2009
In the industry
38 y
Prior registered firms
1
Signals
0
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
  • Practice attractivenesssome
    38.9 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
    no contact route found
Movement evidence
  • Movement signalsome
    1 of 1 dated or circumstantial reading 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 activitysome
    Details are shown to subscribers.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitynone
    1 prior firm, median stay 21.5 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 days
    At UBS, 9.0% with this moved within a year, against 5.4% without it (1.67x, 2023 to 2025 cohorts).
Career
  • 38.9 years in the industry
  • 17.4 years at the current firm
  • 1 prior registered firm; median stay 21.5 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 indicatormedian tenure at prior firms eight years or moreAt UBS, 4.3% with this moved within a year, against 6.6% without it (0.65x, 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 27 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
  • 2 of about 11 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
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
Wirehousederived
Years in industry
38derivedfrom 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