DFX Intelligence
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W•••••• D•••• C•••••
As of · the IAPD feed; also filed as W•••••• D•••• C•••••
- At current firm
- 12 y
- In the industry
- 26.9 y
- Prior registered firms
- 2
- Signals
- 0
since Nov 4, 2013
As of · the IAPD feed; also filed as W•••••• D•••• C•••••
State registrations
2
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
Recruiting value
- Practice attractivenesssome26.9 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 activitynoneDetails are shown to subscribers.
- Contactabilitypartialcatch-all email (domain accepts every address, unverifiable) at ubs.com
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 7.1 years.
Career
- 26.9 years in the industry
- 12.9 years at the current firm
- 2 prior registered firms; median stay 7.1 years
- Path: national broker-dealer RIA to wirehouse
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 39 states (firm median 2)
- Exams: SIE, Series 63, Series 66, Series 7
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 1 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
- 5 disclosed outside organisations
- Owner, founder or manager of 2
- Board, trustee or officer seat at 2
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- notableExternal business breadthOutside business spans 2 categories: energy, hospitality.
- notableCommunity and board roles2 board, trustee or officer roles in outside organisations.
- K•••••••• E•••••Energy and mineralsLandlord · since 2024-12-01
Producing electricity through solar panels (the advisor's own disclosure)
Involved with an energy or mineral interest.
self-disclosed on Form U4 - Director · since 2019-06-01
Fundraising for public school needs not covered by the town tax base (the advisor's own disclosure)
Sits on the board or serves as an officer of a nonprofit.
self-disclosed on Form U4 - H•••••••• P••••• S••••• D•••••••Civic or governmentDirector · since 2019-05-30
Public school system (the advisor's own disclosure)
Sits on the board or serves as an officer of a civic or government body.
self-disclosed on Form U4 - H•••••••• N••• S••••• D•••••••Civic or governmentMember · since 2012-03-31 · ended 2018-03
Local public school district (the advisor's own disclosure)
Holds a management or partner role in a civic or government body.
self-disclosed on Form U4 - T•• A•••••••• C•••Restaurant and hospitalityOwner, 8.33%
Privately owned member only fishing club (the advisor's own disclosure)
Owns or founded a hospitality business outside the advisory practice.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 4, 2013 · Concord, Nh
- R•• C•••••• M••••••• L•• national BDOct 12, 2007 to Nov 11, 2013 · Manchester, Nh
- A• G• E•••••• • S•••• I••• unclassifiedApr 1, 2002 to Oct 17, 2007 · Concord, Nh
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Nov 11, 2013, registered Nov 4, 2013 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- A• G• E•••••• • S•••• I••• to R•• C•••••• M••••••• L••left Oct 17, 2007, registered Oct 12, 2007 (-5 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
- 26.9 yderivedfrom the earlier of the first exam and the first registration on IAPD
- 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