DFX Intelligence
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P••• F•••••• I••••••
Chartered Financial Consultant
As of · the IAPD feed; also filed as P••• F• I••••••
- At current firm
- 9 y
- In the industry
- 32 y
- Prior registered firms
- 3
- Signals
- 0
since Mar 25, 2017
As of · the IAPD feed; also filed as P••• F• I••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
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 Chartered Financial Consultant; 32.5 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.
- Contactabilitypartialprovider email, not verified at the firm's domain
Movement evidence
- Movement signalstrong3 of 3 dated or circumstantial readings historically went with moving: 20%+ of the office left in the prior 180 days; a known colleague moved to an independent RIA in the prior 180 days; 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 activitysomeDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome5 prior firms, median stay 4 years. Patterns that went with staying: thirty or more years in the industry.
Dated changes and circumstances, and what they have meant historically
- move indicator20%+ of the office left in the prior 180 daysAt broker-dealer affiliated firms, 13.0% with this moved within a year, against 5.3% without it (2.46x, 2023 to 2025 cohorts).
- move indicatorA known colleague moved to an independent RIA in the prior 180 daysAt broker-dealer affiliated firms, 6.5% with this moved within a year, against 5.3% without it (1.24x, 2023 to 2025 cohorts).
- move indicatorTwo or more known colleagues moved in the prior 180 daysAt broker-dealer affiliated firms, 6.5% with this moved within a year, against 5.2% without it (1.23x, 2023 to 2025 cohorts).
Career
- 33.3 years in the industry
- 9.5 years at the current firm
- 4 prior registered firms; median stay 4 years
- retention indicatorthirty or more years in the industryAt broker-dealer affiliated firms, 3.1% with this moved within a year, against 5.8% without it (0.53x, 2023 to 2025 cohorts).
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 1 state (firm median 2)
- Exams: SIE, Series 6, Series 63, Series 7
- Designations: Chartered Financial Consultant
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 3 of about 14 in the office left in the last 180 days
- 5 known colleagues changed firms in the last year
- 1 went to an independent RIA in the last 180 days
Regulatory record
Shown to subscribers, with the official record linked.
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Orlando, Fl
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Orlando, Fl
- N•• E•••••• S••••••••• C••••••••• formerJun 1, 2007 to Jan 2, 2015 · Orlando, Fl
- N•• E•••••• S••••••••• C••••••••• formerJun 30, 1997 to Sep 30, 2004 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom 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