DFX Intelligence
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S••••• C•••••• W•••••••
As of · the IAPD feed
- At current firm
- 27 y
- In the industry
- 34 y
- Prior registered firms
- 0
- Signals
- 0
since Dec 16, 1998
As of · the IAPD feed
State registrations
2
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 attractivenesssome34.8 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 profilenotableDetails are shown to subscribers.
- Real estate activitysomeDetails 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 mobilitynone1 prior firm, median stay 2.5 years. Patterns that went with staying: fifteen or more years at the current firm; thirty or more years in the industry.
Career
- 34.8 years in the industry
- 27.8 years at the current firm
- 1 prior registered firm; median stay 2.5 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).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 14 states (firm median 2)
- Exams: SIE, Series 10, Series 63, 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
- No recent movement observed around this advisor.
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
- 3 disclosed outside organisations
- Owner, founder or manager of 3
- 1 also disclosed by other registered advisors
Why it may matter
- notableEntrepreneurial activityOwns, founded or manages 2 business entities outside the advisory practice (self-disclosed on Form U4).
- someReal estate activity1 real-estate entity disclosed.
- notableExternal business breadthOutside business spans 2 categories: operating company, real estate.
- W••••••• B••• L••Operating companyOwner · since 2014-07-16
B••• rental, 3-4 times a summer. (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice.
self-disclosed on Form U4 - W••••••• H••• L••Real estateOwner
Holds family lake cottage rented out in summer months. (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice.
self-disclosed on Form U4 - C•••••••• L••••••• H••• S•••••EducationMember, Volunteer · since 2019-02-13
H••• school. (the advisor's own disclosure)
Holds a management or partner role in an educational institution.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 16, 1998 · Fort Wayne, In
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
- Wirehousederived
- Years in industry
- 34derivedfrom 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