DFX Intelligence
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T•••• L• P•••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Mckinney, Tx IAPD 4269682
As of · the IAPD feed; also filed as T•••• L•• P••••••••• L•• P••••••••• L• P•••••
- At current firm
- 19 y
- In the industry
- 25.8 y
- Prior registered firms
- 2
- Signals
- 0
since Nov 17, 2006
As of · the IAPD feed; also filed as T•••• L•• P••••••••• L•• P••••••••• L• P•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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 attractivenesssome25.8 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 profilesomeNamed in the full brief.
- Real estate activitynotableNamed in the full brief.
- 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 activitysomeNamed in the full brief.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 3.1 years. Patterns that went with staying: controls an advisory, holding or investment entity (any age); fifteen or more years at the current firm.
Career
- 25.8 years in the industry
- 19.8 years at the current firm
- 2 prior registered firms; median stay 3.1 years
- retention indicatorcontrols an advisory, holding or investment entity (any age)At Merrill, 2.7% with this moved within a year, against 6.1% without it (0.44x, 2023 to 2025 cohorts).
- retention indicatorfifteen or more years at the current firmAt Merrill, 1.9% with this moved within a year, against 7.6% without it (0.25x, 2023 to 2025 cohorts).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 36 states (firm median 2)
- Exams: SIE, Series 3, 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
- No recent movement observed around this advisor.
Regulatory record
In the full brief, with the official record linked.
+6 details in the full brief
The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
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
- 4 disclosed outside organisations
- Owner, founder or manager of 4
- 1 started or first disclosed in the last 12 months
Why it may matter
- strongEntrepreneurial activityOwns, founded or manages 3 business entities outside the advisory practice (self-disclosed on Form U4).
- notableReal estate activity2 real-estate entities disclosed.
- notableExternal business breadthOutside business spans 2 categories: holding company, real estate.
- someRecent external activity1 outside activity with a start date in the last 12 months.
- someIndependence-related evidenceControls 2 advisory, holding or investment entities. In this channel DFX measured no association between this and moving firms.
- R••••• L••Real estateOwner · since 2024-07-15
Holds all non-homestead real estate owned by the advisor and wife (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice.
self-disclosed on Form U4 - Member · since 2026-08-07
Estate planning entity holding personal assets (the advisor's own disclosure)
Holds a management or partner role in a real-estate entity; started within the last 12 months.
self-disclosed on Form U4 - K• K• F••••• H••••••• L•Holding companyPartner, Managing member · since 2023-10-24
Estate planning entity holding personal assets (the advisor's own disclosure)
Owns or founded a holding company outside the advisory practice.
self-disclosed on Form U4 - K• K• F••••• M••••••••• L••Holding companyPartner, Managing member · since 2023-10-24
Estate planning for personal assets (the advisor's own disclosure)
Owns or founded a holding company outside the advisory practice.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 17, 2006 · Mckinney, Tx
- C•••••••• G••••• M•••••• I••• bank affiliatedMar 24, 2005 to Nov 24, 2006 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseDec 4, 2000 to Apr 22, 2005 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 24, 2006, registered Nov 17, 2006 (-7 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Apr 22, 2005, registered Mar 24, 2005 (-29 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
- 25.8 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