DFX Intelligence
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S•••• T••••• B•••••••••
Certified Financial Planner
As of · the IAPD feed; also filed as S•••• B••••••••• T• B••••••••• T••••• B•••••••••
- At current firm
- 17 y
- In the industry
- 22 y
- Prior registered firms
- 1
- Signals
- 0
since Aug 14, 2009
As of · the IAPD feed; also filed as S•••• B••••••••• T• B••••••••• T••••• B•••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
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 attractivenesssomedesignations Certified Financial Planner; 22.2 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.
- Contactabilitystrongverified business email at safeharborpw.com (apollo)
Movement evidence
- Movement signalnone0 of 1 dated or circumstantial reading historically went with moving. The forward-tested move model places this advisor in its Elevated band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 5.1 years. Patterns that went with staying: fifteen or more years at the current firm.
Dated changes and circumstances, and what they have meant historically
- weak move association20%+ of the office left in the prior 180 daysAt LPL, 7.0% with this moved within a year, against 4.0% without it (1.75x, 2023 to 2025 cohorts).
Career
- 22.2 years in the industry
- 17.1 years at the current firm
- 1 prior registered firm; median stay 5.1 years
- Path: wirehouse to broker-dealer affiliated
- retention indicatorfifteen or more years at the current firmAt LPL, 1.7% with this moved within a year, against 4.5% without it (0.38x, 2023 to 2025 cohorts).
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
- Registered in 2 states (firm median 2)
- Exams: Series 66
- Designations: Certified Financial Planner
- Registered as a broker as well as an adviser
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
- 15 of about 41 in the office left in the last 180 days
- 16 known colleagues changed firms in the last year
Regulatory record
Shown to subscribers, with the official record linked.
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Aug 14, 2009 · Roseville, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 19, 2004 to Aug 17, 2009 · Roseville, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Aug 17, 2009, registered Aug 14, 2009 (-3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom 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