DFX Intelligence

RIA Intelligence

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This advisor's name and 1 more verified contact

Career history, every move, licensing and registration changes, outside business activity and the contact routes the firm publishes, each with the official record linked.

Includes 3 days of DFX Intelligence. Then $249/month unless canceled.

A Financial Advisor In California

Registered advisorat Creative PlanningIA-only· Overland Park, Ks IAPD 2479998
At current firm
3 y
since Aug 29, 2023
In the industry
29.9 y
Prior registered firms
2
Signals
0
As of · the IAPD feed

1 verified contact

1 advisor profile

Includes 3 days of DFX Intelligence. Then $249/month unless canceled.

State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
  • Practice attractivenesssome
    29.9 years in the industry
  • Team depthnone
    0 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 profilenone
    Named in the full brief.
  • Real estate activitynone
    Named in the full brief.
  • Contactabilitypartial
    professional profile page
Movement evidence
  • Movement signalsome
    1 of 1 dated or circumstantial reading historically went with moving: a known colleague moved to an independent RIA in the prior 180 days. The forward-tested move model places this advisor in its Baseline band.
  • Recent change activitynone
    Named in the full brief.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitysome
    2 prior firms, median stay 11.7 years. Patterns that went with staying: median tenure at prior firms eight years or more.
Dated changes and circumstances, and what they have meant historically
  • move indicatorA known colleague moved to an independent RIA in the prior 180 days
    At independent RIAs, 6.9% with this moved within a year, against 5.3% without it (1.30x, 2023 to 2025 cohorts).
Career
  • 29.9 years in the industry
  • 3.1 years at the current firm
  • 2 prior registered firms; median stay 11.7 years
  • Path: brokerage advisory to national broker-dealer RIA to independent RIA
  • retention indicatormedian tenure at prior firms eight years or moreAt independent RIAs, 3.4% with this moved within a year, against 6.3% without it (0.54x, 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 1)
  • Exams: Series 63, Series 65
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
  • 1 known colleagues changed firms in the last year
  • 1 went to an independent RIA in the last 180 days
Regulatory record

In the full brief, with the official record linked.

+5 details in the full brief

The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.

Includes 3 days of DFX Intelligence. Then $249/month unless canceled.

Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
No dated event on this person.
Transition signals

Mobility scoring is not published yet.

Provenance
Source
IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class
Independent wealth managerderived
Years in industry
29.9 yderivedfrom the earlier of the first exam and the first registration on IAPD
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