DFX Intelligence
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W•••••• J••• O••••••••
As of · the IAPD feed
- At current firm
- 22 y
- In the industry
- 24 y
- Prior registered firms
- 0
- Signals
- 1
since Jan 27, 2004
As of · the IAPD feed
State registrations
3
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
Recruiting value
- Practice attractivenesssome24.2 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 signalstrong3 of 3 dated or circumstantial readings historically went with moving: 20%+ of the office left in the prior 180 days; a known colleague moved to an independent RIA in the prior 180 days; 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 activitysomeDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 0.2 years. Patterns that went with staying: fifteen or more years at the current firm.
Dated changes and circumstances, and what they have meant historically
- move indicator20%+ of the office left in the prior 180 daysAt broker-dealer affiliated firms, 13.0% with this moved within a year, against 5.3% without it (2.46x, 2023 to 2025 cohorts).
- move indicatorA known colleague moved to an independent RIA in the prior 180 daysAt broker-dealer affiliated firms, 6.5% with this moved within a year, against 5.3% without it (1.24x, 2023 to 2025 cohorts).
- move indicatorTwo or more known colleagues moved in the prior 180 daysAt broker-dealer affiliated firms, 6.5% with this moved within a year, against 5.2% without it (1.23x, 2023 to 2025 cohorts).
Career
- 24.4 years in the industry
- 24.2 years at the current firm
- 1 prior registered firm; median stay 0.2 years
- retention indicatorfifteen or more years at the current firmAt broker-dealer affiliated firms, 2.6% with this moved within a year, against 5.8% without it (0.45x, 2023 to 2025 cohorts).
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 29 states (firm median 2); added DC in the last 180 days
- Exams: SIE, Series 66, Series 6TO, Series 7
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 2 of about 8 in the office left in the last 180 days
- 4 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.
Registration history
IAPD current and previous registrations
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Jan 27, 2004 · Montvale, Nj
Moves
a registration end followed by a registration begin elsewhere
No firm change on the tape.
Signals
- ••• LockedSep 18, 2026 · New state registration · fact
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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom 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