DFX Intelligence
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S•••••• A•••••• M••••••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Newport Beach, CaIAPD 3176972
As of · the IAPD feed; also filed as S•••••• A•••••• M••••••••
- At current firm
- 12 y
- In the industry
- 27 y
- Prior registered firms
- 3
- Signals
- 0
since Apr 17, 2014
As of · the IAPD feed; also filed as S•••••• A•••••• M••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
- ••• Locked
Recruiting value
- Practice attractivenesssome27.4 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 activitynotableDetails are shown to subscribers.
- ContactabilityweakPublished: no published contact point.
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 mobilitysome2 prior firms, median stay 7.5 years.
Career
- 27.4 years in the industry
- 12.4 years at the current firm
- 2 prior registered firms; median stay 7.5 years
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 20 states (firm median 2)
- Exams: SIE, Series 31, Series 63, Series 65, Series 7
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 2 known colleagues changed firms in the last year
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
- 1 also disclosed by other registered advisors
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- notableReal estate activity2 real-estate entities disclosed.
- someBusiness network connectivityThrough these entities DFX sees 0 other people named in public records and 1 other registered advisors who disclose the same entities. These are observed business connections, not clients.
- someExternal business breadthOutside business spans 1 category: property management.
- someCommunity and board roles1 board, trustee or officer role in outside organisations.
- P•••••• P•••••••••Property managementOwner · since 2014-04-22
S-corp management company for the advisor's personal properties (the advisor's own disclosure)
Owns or founded a property-management business outside the advisory practice.
self-disclosed on Form U4 - R••• R•••• L••Property managementOfficer · since 2022-10-01
Management company for a rental property owned by the advisor and wife (the advisor's own disclosure)
Sits on the board or serves as an officer of a property-management business.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 17, 2014 · Newport Beach, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 24, 2014 · Long Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Long Beach, Ca
- M••••• S•••••• D• I••• unclassifiedMar 30, 2000 to Apr 2, 2007 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 24, 2014, registered Apr 17, 2014 (-7 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (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
- Wirehousederived
- Years in industry
- 27derivedfrom 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