DFX Intelligence
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R•••••• F• H•••••
As of · the IAPD feed; also filed as R•••••• F•••••• H••••••••• F• H••••• J•••••• H•••••
- At current firm
- 5 y
- In the industry
- 34 y
- Prior registered firms
- 4
- Signals
- 0
since Jul 22, 2021
As of · the IAPD feed; also filed as R•••••• F•••••• H••••••••• F• H••••• J•••••• H•••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 attractivenesssome34 years in the industry; 7 colleagues who moved with this advisor are still here
- Team depthstrong7 of the 7 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 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 activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome3 prior firms, median stay 9.2 years. Patterns that went with staying: thirty or more years in the industry.
Dated changes and circumstances, and what they have meant historically
- move indicatorTwo or more known colleagues moved in the prior 180 daysAt UBS, 9.0% with this moved within a year, against 5.4% without it (1.67x, 2023 to 2025 cohorts).
Career
- 34 years in the industry
- 5.2 years at the current firm
- 4 prior registered firms; median stay 9.2 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).
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 26 states (firm median 2)
- Exams: SIE, Series 31, Series 63, Series 65, Series 7
- 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 40 in the office left in the last 180 days
- 2 known colleagues changed firms in the last year
- 7 people who moved with this advisor are still with them
Regulatory record
Shown to subscribers, with the official record linked.
Career stage and continuityWhat is shown hereTenure is counted from the first registration or exam on the SEC’s records, with how far the date can be trusted. It is context, not a prediction: nothing here says an advisor is near retirement, and no age is used or shown. A family relationship appears only when a professional page states it in words and both people are registered; a shared surname is never evidence. No relationship shown means none was found in the pages read, not that none exists.
industry tenure, firm tenure and ownership from professional records
- Industry tenure
- 34 years (30-40 years)derivedsince Sep 12, 1992; IAPD adviser feed; within a year of the SEC record for 83% in a blind check, and it can understate a long broker career
- Current-firm tenure
- 5.2 yearsderivedIAPD registration history (legal firm)
- Prior firms
- 4reported3 counting renames and absorbed firms as one
- Owner or founder
- Not on the firm's ownership schedulereportedForm ADV Schedule A
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 22, 2021 · Philadelphia, Pa
- M••••• S•••••• wirehouseMar 23, 2012 to Jul 26, 2021 · Mount Laurel, Nj
- U•• F•••••••• S••••••• I••• wirehouseFeb 3, 2006 to Apr 2, 2012 · Mt. Laurel, Nj
- M••••• S•••••• D• I••• unclassifiedAug 6, 2002 to Feb 6, 2006 · Mount Laurel, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 13, 1996 to May 15, 2002 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jul 26, 2021, registered Jul 22, 2021 (-4 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 2, 2012, registered Mar 23, 2012 (-10 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Feb 6, 2006, registered Feb 3, 2006 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left May 15, 2002, registered Aug 6, 2002 (83 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
- Wirehousederived
- Years in industry
- 34derivedfrom the first exam or registration on the SEC record
- 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