DFX Intelligence
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C••••••••• D• P••••
Certified Financial Planner
As of · the IAPD feed; also filed as C••••••••• D••• P••••••••• D• P••••
- At current firm
- 5 y
- In the industry
- 27 y
- Prior registered firms
- 5
- Signals
- 0
since Apr 29, 2021
As of · the IAPD feed; also filed as C••••••••• D••• P••••••••• D• P••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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
- ••• Locked
Recruiting value
- Practice attractivenessnotablepersonal book $25M to $250M (estimated); designations Certified Financial Planner; 27.1 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.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalsome1 of 1 dated or circumstantial reading historically went with moving: two or more known colleagues moved in the prior 180 days. 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 mobilitysome9 prior firms, median stay 2.9 years.
Dated changes and circumstances, and what they have meant historically
- move indicatorTwo or more known colleagues moved in the prior 180 daysAt JPMorgan, 8.2% with this moved within a year, against 5.5% without it (1.50x, 2023 to 2025 cohorts).
Career
- 27.1 years in the industry
- 5.4 years at the current firm
- 9 prior registered firms; median stay 2.9 years
- Personal book $25M to $250M (estimated)
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 51 states (firm median 2)
- Exams: SIE, Series 10, Series 63, Series 66, Series 7, Series 9
- Supervisory exams: Series 10, Series 9
- 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
- 6 known colleagues changed firms in the last year
Regulatory record
Shown to subscribers, with the official record linked.
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 29, 2021 · Clayton, Mo
- B••••• R•• C•••••• L•• unclassifiedApr 30, 2020 to Mar 18, 2021 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedOct 1, 2015 to May 24, 2019 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 18, 2012 to Aug 25, 2015 · Houston, Tx
- C•••••••• G••••• M•••••• I••• bank affiliatedMay 21, 2008 to Aug 15, 2012 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseJul 18, 2007 to Apr 16, 2008 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- B••••• R•• C•••••• L•• to J••• M••••• S••••••••• L••left Mar 18, 2021, registered Apr 29, 2021 (42 days) · Other
- A••••• A•• P••••••• S••••••• to B••••• R•• C•••••• L••left May 24, 2019, registered Apr 30, 2020 (342 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Aug 25, 2015, registered Oct 1, 2015 (37 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 15, 2012, registered Sep 18, 2012 (34 days) · Other
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Apr 16, 2008, registered May 21, 2008 (35 days) · Other
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