DFX Intelligence
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G•••••• N••• M•••••••
As of · the IAPD feed; also filed as G••• M•••••••
- At current firm
- 25 y
- In the industry
- 30 y
- Prior registered firms
- 0
- Signals
- 0
since Nov 3, 2000
As of · the IAPD feed; also filed as G••• M•••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
- ••• Locked
Recruiting value
- Practice attractivenesssome30.7 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 profilenotableDetails are shown to subscribers.
- Real estate activitynoneDetails 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 mobilitynone1 prior firm, median stay 4.9 years. Patterns that went with staying: thirty or more years in the industry; fifteen or more years at the current firm; controls an advisory, holding or investment entity (any age).
Career
- 30.7 years in the industry
- 25.9 years at the current firm
- 1 prior registered firm; median stay 4.9 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).
- retention indicatorcontrols an advisory, holding or investment entity (any age)At UBS, 3.5% with this moved within a year, against 5.6% without it (0.63x, 2023 to 2025 cohorts).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 26 states (firm median 2)
- Exams: SIE, Series 10, Series 3, Series 63, Series 7, Series 9
- Supervisory exams: Series 10, Series 9
- 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
- 3 disclosed outside organisations
- Owner, founder or manager of 3
Why it may matter
- strongEntrepreneurial activityOwns, founded or manages 3 business entities outside the advisory practice (self-disclosed on Form U4).
- notableExternal business breadthOutside business spans 2 categories: energy, holding company.
- someIndependence-related evidenceControls 1 advisory, holding or investment entity. In this channel DFX measured no association between this and moving firms.
- 7• I••••••••• L••Energy and mineralsMember · since 2013-01-01
Holds oil and gas investments of family (the advisor's own disclosure)
Holds a management or partner role in an energy or mineral interest.
self-disclosed on Form U4 - C••••••••• L••Energy and mineralsPartner · since 2013-01-01
Private family owned oil and gas investment LLC (the advisor's own disclosure)
Holds a management or partner role in an energy or mineral interest.
self-disclosed on Form U4 - M••••••• 7• R••••• L••Holding companyManager
Family LLC holding real estate and mineral investments, disbursing revenue to family (the advisor's own disclosure)
Holds a management or partner role in a holding company.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 3, 2000 · Midland, Tx
Moves
a registration end followed by a registration begin elsewhere
No firm change on the tape.
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
- Wirehousederived
- Years in industry
- 30derivedfrom 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