DFX Intelligence
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M••••••• W•••••••• W•••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· San Antonio, TxIAPD 4343521
As of · the IAPD feed; also filed as M••••••• W••••••••• W•••••
- At current firm
- 16 y
- In the industry
- 47 y
- Prior registered firms
- 1
- Signals
- 0
since Oct 23, 2009
As of · the IAPD feed; also filed as M••••••• W••••••••• W•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Recruiter brief
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 profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalnone0 of 1 dated or circumstantial reading historically went with moving. The forward-tested move model places this advisor in its Baseline band.
- Recent change activitysomeDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 8.6 years. Patterns that went with staying: fifteen or more years at the current firm.
Dated changes and circumstances, and what they have meant historically
- weak retention associationA known colleague moved to an independent RIA in the prior 180 daysAt Merrill, 4.8% with this moved within a year, against 6.0% without it (0.80x, 2023 to 2025 cohorts).
Career
- 26.9 years in the industry
- 16.9 years at the current firm
- 1 prior registered firm; median stay 8.6 years
- 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 6 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 of about 96 in the office left in the last 180 days
- 1 known colleagues changed firms in the last year
- 1 went to an independent RIA in the last 180 days
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
- 4 disclosed outside organisations
- Board, trustee or officer seat at 4
- 1 also disclosed by other registered advisors
- 1 started or first disclosed in the last 12 months
Why it may matter
- notableCommunity and board roles3 board, trustee or officer roles in outside organisations.
- someRecent external activity1 outside activity with a start date in the last 12 months.
- Officer, Director, Chair · since 2026-07-01
Community nonprofit serving primarily social service agencies (the advisor's own disclosure)
Holds a management or partner role in a nonprofit; started within the last 12 months.
self-disclosed on Form U4 - S•••• L••••• E•••••••• S•••••NonprofitDirector · since 2025-06-01
S••••• (the advisor's own disclosure)
Sits on the board or serves as an officer of a nonprofit.
self-disclosed on Form U4 - U••••• W•• O• S•• A••••••NonprofitTrustee, Director · since 2011-07-01
Community nonprofit serving primarily social service agencies (the advisor's own disclosure)
Sits on the board or serves as an officer of a nonprofit.
self-disclosed on Form U4 - Chair, Other role · since Jul 2007
Museum (the advisor's own disclosure)
Holds a management or partner role in a nonprofit.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 23, 2009 · San A••••••, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 11, 2002 to Oct 23, 2009 · San A••••••, Tx
Moves
a registration end followed by a registration begin elsewhere
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (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
- 47derivedfrom 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