DFX Intelligence
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D••••• H• W••••••
As of · the IAPD feed; also filed as D••••• J••• H••••••••• J••• H••••••••• J• S••••••••• H••••• W••••••••• W••••••••• H• W••••••
- At current firm
- 1 y
- In the industry
- 19 y
- Prior registered firms
- 4
- Signals
- 0
since Mar 31, 2025
As of · the IAPD feed; also filed as D••••• J••• H••••••••• J••• H••••••••• J• S••••••••• H••••• W••••••••• W••••••••• H• W••••••
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
- ••• Locked
Recruiting value
- Practice attractivenesssome19.8 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.
- 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 activitysomeDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome6 prior firms, median stay 2.2 years.
Dated changes and circumstances, and what they have meant historically
- move indicatorTwo or more known colleagues moved in the prior 180 daysAt BROKERAGE_ADVISORY, 6.3% with this moved within a year, against 4.4% without it (1.44x, 2023 to 2025 cohorts).
- weak move associationA known colleague moved to an independent RIA in the prior 180 daysAt BROKERAGE_ADVISORY, 5.1% with this moved within a year, against 4.5% without it (1.15x, 2023 to 2025 cohorts).
Career
- 32.2 years in the industry
- 1.5 years at the current firm
- 6 prior registered firms; median stay 2.2 years
- Path: wirehouse to brokerage advisory
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 20 states (firm median 2)
- Exams: SIE, Series 10, Series 55, Series 63, Series 65, Series 7, Series 9
- Supervisory exams: Series 10, Series 9
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 4 of about 21 in the office left in the last 180 days
- 6 known colleagues changed firms in the last year
- 5 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
- S•••••••• A••••••• L•• brokerage advisory currentsince Mar 31, 2025 · Midlothian, Va
- F••••••• P••••••• A•• W•••••••• A••••••• brokerage advisoryJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• brokerage advisoryFeb 3, 2014 to Jul 13, 2018 · Glen Allen, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 5, 2012 · Richmond, Va
- C•••••••• G••••• M•••••• I••• bank affiliatedFeb 10, 2009 to Jun 1, 2009 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to S•••••••• A••••••• L••left Sep 5, 2012, registered Feb 3, 2014 (516 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Brokerage advisory programderived
- Years in industry
- 19derivedfrom 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