DFX Intelligence
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G••••••• C••••••• R•••••
Certified Financial Planner
As of · the IAPD feed; also filed as G•••• R•••••
- At current firm
- 1 y
- In the industry
- 29 y
- Prior registered firms
- 2
- Signals
- 1
since Sep 27, 2024
As of · the IAPD feed; also filed as G•••• R•••••
State registrations
2
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 attractivenesssomedesignations Certified Financial Planner; 29.3 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 profilesomeDetails are shown to subscribers.
- Real estate activitysomeDetails are shown to subscribers.
- Contactabilityweakno contact route found
Movement evidence
- 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 mobilitysome4 prior firms, median stay 5.1 years.
Career
- 29.3 years in the industry
- 2 years at the current firm
- 4 prior registered firms; median stay 5.1 years
- Path: national broker-dealer RIA to wirehouse
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 50 states (firm median 2)
- Exams: SIE, Series 31, Series 63, Series 65, Series 7
- Designations: Certified Financial Planner
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- No recent movement observed around this advisor.
Regulatory record
Shown to subscribers, with the official record linked.
Outside business and networkWhat is shown hereEvery item is the advisor’s own outside-business disclosure on Form U4, read from the IAPD feed, so the link between the advisor and the company is theirs, not DFX’s guess. Each company is then looked up in public records (state registries, SEC Form D, the IRS exempt-organisation file, SBA loans, Form ADV, assessor rolls), and every fact on its page names its record. Personal items (a trusteeship for a relative, a home, a side job) and every address are left out. People connected through these companies are observed business connections, never assumed clients.
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
- 2 disclosed outside organisations
- Owner, founder or manager of 1
- Board, trustee or officer seat at 1
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- someReal estate activity1 real-estate entity disclosed.
- someExternal business breadthOutside business spans 1 category: real estate.
- someCommunity and board roles1 board, trustee or officer role in outside organisations.
- E•• P•••••••••Real estatePartner · since Apr 2009
Rental property (the advisor's own disclosure)
Holds a management or partner role in a real-estate entity.
self-disclosed on Form U4 - Director · since Apr 2018
S••••• (the advisor's own disclosure)
Sits on the board or serves as an officer of an educational institution.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Sep 27, 2024 · Raleigh, Nc
- E••••• J•••• national BDJan 7, 2019 to Sep 30, 2024 · Raleigh, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 31, 2001 to May 15, 2003 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to M••••• S••••••left Sep 30, 2024, registered Sep 27, 2024 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- L••• M•••• W••• W•••••• I••••••••• to E••••• J••••left May 15, 2003, registered Jan 7, 2019 (5716 days) · Other
Signals
- ••• LockedSep 30, 2024 · Advisor changed firm · fact
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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 29derivedfrom 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