DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
B•••• S••••••
As of · the IAPD feed; also filed as B•••• K•••• S••••••
- At current firm
- 19 y
- In the industry
- 27 y
- Prior registered firms
- 0
- Signals
- 0
since Feb 16, 2007
As of · the IAPD feed; also filed as B•••• K•••• S••••••
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
- ••• Locked
Recruiting value
- Practice attractivenesssome27.6 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.
- ContactabilityweakPublished: no published contact point.
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving.
- Recent change activitysomeDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome3 prior firms, median stay 0.9 years.
Career
- 27.6 years in the industry
- 3 prior registered firms; median stay 0.9 years
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 6 states (firm median 2); added NC in the last 180 days
- Exams: SIE, Series 10, Series 52, Series 63, Series 65, Series 7, Series 9, Series 99TO
- 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
- 1 disclosed outside organisation
- 1 also disclosed by other registered advisors
Why it may matter
- someExternal business breadthOutside business spans 1 category: legal.
- F••••LegalOther role · since 2019-09-01
Arbitrates disputes (the advisor's own disclosure)
Involved with a law practice.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 6, 2026 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouse currentsince Feb 16, 2007 · Raleigh, Nc
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
- 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