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A••• S••••• R••••••••
- At current firm
- 18 y
- In the industry
- 33 y
- Prior registered firms
- 1
- Signals
- 0
- Practice attractivenesssome34 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 activitysomeDetails are shown to subscribers.
- Contactabilitypartialcatch-all email (domain accepts every address, unverifiable) at ubs.com
- 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 mobilitysome3 prior firms, median stay 2.3 years. Patterns that went with staying: thirty or more years in the industry; fifteen or more years at the current firm.
- 34 years in the industry
- 18 years at the current firm
- 3 prior registered firms; median stay 2.3 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 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).
- Registered in 28 states (firm median 2)
- Exams: SIE, Series 3, Series 63, Series 65, Series 7
- Registered as a broker as well as an adviser
- No recent movement observed around this advisor.
Shown to subscribers, with the official record linked.
- 12 disclosed outside organisations
- Owner, founder or manager of 1
- Board, trustee or officer seat at 11
- someReal estate activity1 real-estate entity disclosed.
- notableExternal business breadthOutside business spans 2 categories: real estate, unclear.
- strongCommunity and board roles11 board, trustee or officer roles in outside organisations.
- Member · since 2024-03-12
Advises the dean of the undergraduate business school (the advisor's own disclosure)
Holds a management or partner role in an educational institution.
self-disclosed on Form U4 - R••••• S•••••NonprofitChair · since 2019-01-01
School (the advisor's own disclosure)
Holds a management or partner role in a nonprofit.
self-disclosed on Form U4 - N•• R••••••••• B•••••••••NonprofitDirector · since 2015-11-01
Sits on the board or serves as an officer of a nonprofit.
self-disclosed on Form U4 - Officer · since 2008-10-14
Real Estate Investment Partnership (the advisor's own disclosure)
Sits on the board or serves as an officer of a real-estate entity.
self-disclosed on Form U4 - T•• S•• T••••Type not statedTrustee · since 2024-01-23
Generation skipping insurance trust (the advisor's own disclosure)
Sits on the board or serves as an officer of an outside organisation.
self-disclosed on Form U4
View all 12 outside organisationsShow fewer
- M••••• 2••• D••••••••• N••••••••• T•••• C•Type not statedTrustee · since 2021-06-18
D••••••••• trust that will make investments; grantor has sole investment authority (the advisor's own disclosure)
Sits on the board or serves as an officer of an outside organisation.
self-disclosed on Form U4 - P••••• 2••• D••••••••• T•••• N••••••••• T•••• C•Type not statedTrustee · since 2021-06-18
D••••••••• trust that will make investments; grantor has sole investment authority (the advisor's own disclosure)
Sits on the board or serves as an officer of an outside organisation.
self-disclosed on Form U4 - E••• 2••• S•••••• A••••• T•••• F•• K•••Type not statedTrustee · since 2020-12-15
Estate planning trust for K.W. and his descendants (the advisor's own disclosure)
Sits on the board or serves as an officer of an outside organisation.
self-disclosed on Form U4 - P••••• 2••• D••••••••• T•••• E••••• T•••• B•Type not statedTrustee · since 2020-11-01
D••••••••• trust that will make investments; grantor has sole investment authority (the advisor's own disclosure)
Sits on the board or serves as an officer of an outside organisation.
self-disclosed on Form U4 - E••••• T•••• B• u•••• t•• 2••• M••••• D••••••••• T••••Type not statedTrustee · since 2019-09-09
D••••••••• trust (the advisor's own disclosure)
Sits on the board or serves as an officer of an outside organisation.
self-disclosed on Form U4 - B••• F••••• I•••••••• T••••Type not statedTrustee · since 2016-12-30
I•••••••• trust holding 2 insurance policies (the advisor's own disclosure)
Sits on the board or serves as an officer of an outside organisation.
self-disclosed on Form U4 - W• L••• I•••••••• T••••Type not statedTrustee · since 2010-07-06
L••• insurance trust (the advisor's own disclosure)
Sits on the board or serves as an officer of an outside organisation.
self-disclosed on Form U4
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 19, 2008 · Weehawken, Nj
- L••••• B••••••• I••• unclassifiedMay 2, 2005 to Oct 2, 2008 · New York, Ny
- L••••• B••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 2, 2008, registered Sep 19, 2008 (-13 days) · Other
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 33derivedfrom 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