DFX Intelligence
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D•••• L•••• L•••••
Certified Financial Planner
As of · the IAPD feed
- At current firm
- 19 y
- In the industry
- 35 y
- Prior registered firms
- 1
- Signals
- 0
since May 3, 2007
As of · the IAPD feed
State registrations
7
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
- ••• Locked
Recruiting value
- Practice attractivenesssomedesignations Certified Financial Planner; 32.2 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.
- ContactabilityweakPublished: no published contact point.
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. 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 mobilitysome2 prior firms, median stay 15.4 years. Patterns that went with staying: fifteen or more years at the current firm; thirty or more years in the industry; median tenure at prior firms eight years or more.
Career
- 32.2 years in the industry
- 19.4 years at the current firm
- 2 prior registered firms; median stay 15.4 years
- retention indicatorfifteen or more years at the current firmAt UBS, 4.0% with this moved within a year, against 6.0% without it (0.67x, 2023 to 2025 cohorts).
- 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, 3.8% with this moved within a year, against 6.2% without it (0.61x, 2023 to 2025 cohorts).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 37 states (firm median 2)
- Exams: SIE, Series 24, Series 3, Series 62, Series 63, Series 7
- Supervisory exams: Series 24
- Designations: Certified Financial Planner
- 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 65 in the office left in the last 180 days
Regulatory record
Shown to subscribers, with the official record linked.
Outside business and networkWhat is shown hereEvery item is the advisor’s own outside-business disclosure on Form U4, read from the IAPD feed, so the link between the advisor and the company is theirs, not DFX’s guess. Each company is then looked up in public records (state registries, SEC Form D, the IRS exempt-organisation file, SBA loans, Form ADV, assessor rolls), and every fact on its page names its record. Personal items (a trusteeship for a relative, a home, a side job) and every address are left out. People connected through these companies are observed business connections, never assumed clients.
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
- 2 disclosed outside organisations
- 1 also disclosed by other registered advisors
Why it may matter
- notableExternal business breadthOutside business spans 2 categories: legal, unclear.
- F••••Civic or governmentContractor · since 2019-07-01
Investment/finance/banking; arbitration (the advisor's own disclosure)
Involved with a law practice.
self-disclosed on Form U4 - N•• P•••••• A•••••••••Type not statedOther role · since 2019-07-01
Involved with an outside organisation.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince May 3, 2007 · Newport Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 6, 1991 to May 1, 2007 · Shelton, Ct
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left May 1, 2007, registered May 3, 2007 (2 days) · Affiliated broker-dealer or bank 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
- 35derivedfrom 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