DFX Intelligence
Part of this page could not be read just now: who else to call. Those sections are not empty, they were not read. This is a fault on our side, not an answer about this record; reload the page to try again.
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
S••• B•••• T•••••••
Registered advisorat U•• F•••••••• S••••••• I•••Dual registrant· Palm Beach Gardens, Fl IAPD 5006919
As of · the IAPD feed
- At current firm
- 18 y
- In the industry
- 20 y
- Prior registered firms
- 0
- Signals
- 0
since Aug 25, 2008
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
- ••• Locked
Recruiting value
- Practice attractivenesssome21 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.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalsome1 of 1 dated or circumstantial reading historically went with moving: 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 activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone0 prior firms. Patterns that went with staying: fifteen or more years at the current firm; controls an advisory, holding or investment entity (any age).
Dated changes and circumstances, and what they have meant historically
- move indicatorTwo or more known colleagues moved in the prior 180 daysAt UBS, 9.0% with this moved within a year, against 5.4% without it (1.67x, 2023 to 2025 cohorts).
Career
- 21 years in the industry
- 18.1 years at the current firm
- 0 prior registered firms
- retention indicatorfifteen or more years at the current firmAt UBS, 3.9% with this moved within a year, against 6.1% without it (0.64x, 2023 to 2025 cohorts).
- retention indicatorcontrols an advisory, holding or investment entity (any age)At UBS, 3.5% with this moved within a year, against 5.6% without it (0.63x, 2023 to 2025 cohorts).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 26 states (firm median 2)
- Exams: SIE, Series 10, Series 66, Series 7, Series 9
- Supervisory exams: Series 10, Series 9
- 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 13 in the office left in the last 180 days
- 2 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
- 2 disclosed outside organisations
- Owner, founder or manager of 1
- Board, trustee or officer seat at 1
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- someExternal business breadthOutside business spans 1 category: investment vehicle.
- someCommunity and board roles1 board, trustee or officer role in outside organisations.
- someIndependence-related evidenceControls 1 advisory, holding or investment entity. In this channel DFX measured no association between this and moving firms.
- B••• T••• P••••••• O••••• A•••••••••Civic or governmentDirector, Officer · since 2025-04-01
P••••••• owners association caring for community needs (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 - D••••• 7• I••••••••• G••••Investment vehiclePartner · since 2023-10-01
Investment club with advisor's siblings (the advisor's own disclosure)
Holds a management or partner role in an investment vehicle.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 25, 2008 · Northfield, Nj
Moves
a registration end followed by a registration begin elsewhere
No firm change on the tape.
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
- 20derivedfrom 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