DFX Intelligence
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D•••• B•••• W•••
As of · the IAPD feed
- At current firm
- 3 y
- In the industry
- 25.6 y
- Prior registered firms
- 2
- Signals
- 0
since Aug 10, 2023
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
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 attractivenesssome25.6 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.
- 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 activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 10.6 years. Patterns that went with staying: median tenure at prior firms eight years or more.
Career
- 25.6 years in the industry
- 3.1 years at the current firm
- 2 prior registered firms; median stay 10.6 years
- retention indicatormedian tenure at prior firms eight years or moreAt broker-dealer affiliated firms, 3.2% with this moved within a year, against 6.4% without it (0.50x, 2023 to 2025 cohorts).
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
- Registered in 2 states (firm median 1)
- Exams: Series 63, Series 65
- Registered as a broker as well as an adviser
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
- 2 known colleagues changed firms in the last year
Regulatory record
Shown to subscribers, with the official record linked.
Career stage and continuityWhat is shown hereTenure is counted from the first registration or exam on the SEC’s records, with how far the date can be trusted. It is context, not a prediction: nothing here says an advisor is near retirement, and no age is used or shown. A family relationship appears only when a professional page states it in words and both people are registered; a shared surname is never evidence. No relationship shown means none was found in the pages read, not that none exists.
industry tenure, firm tenure and ownership from professional records
- Industry tenure
- 25.6 years (20-30 years)derivedsince Feb 22, 2001; IAPD adviser feed; within a year of the SEC record for 83% in a blind check, and it can understate a long broker career
- Current-firm tenure
- 3.1 yearsderived18.1 years counting predecessor firms
- Prior firms
- 2reported1 counting renames and absorbed firms as one
- Owner or founder
- Not on the firm's ownership schedulereportedForm ADV Schedule A
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Mandan, Nd
- S••••••• F•••••••• S•••••••• I••• formerAug 25, 2008 to Aug 10, 2023 · Mandan, Nd
- P•••• S••••••••• L•• no RAUMApr 9, 2002 to Aug 5, 2008 · Bismarck, Nd
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Aug 5, 2008, registered Aug 25, 2008 (20 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25.6 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