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M••••• C• N•••

Registered advisorat M•• I•••••••• S•••••••• L••Dual registrant· Madison, WiIAPD 5106390
At current firm
9 y
since Mar 25, 2017
In the industry
20 y
Prior registered firms
1
Signals
0
As of · the IAPD feed; also filed as M••• N••••••••• N••••••••• C• N•••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
  • Practice attractivenesssome
    20.3 years in the industry
  • Team depthnone
    0 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 profilenone
    Details are shown to subscribers.
  • Real estate activitynone
    Details are shown to subscribers.
  • Contactabilityweak
    no contact route found
Movement evidence
  • Movement signalstrong
    3 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 activitysome
    Details are shown to subscribers.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitysome
    2 prior firms, median stay 6 years.
Dated changes and circumstances, and what they have meant historically
  • move indicator20%+ of the office left in the prior 180 days
    At 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 days
    At 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 days
    At broker-dealer affiliated firms, 6.5% with this moved within a year, against 5.2% without it (1.23x, 2023 to 2025 cohorts).
Career
  • 20.4 years in the industry
  • 9.5 years at the current firm
  • 2 prior registered firms; median stay 6 years
Source: SEC IAPD per-person record
Licensing and credentials
  • Registered in 23 states (firm median 2)
  • Exams: SIE, Series 6, Series 63, Series 65, Series 7
  • Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
  • 4 of about 12 in the office left in the last 180 days
  • 8 known colleagues changed firms in the last year
  • 3 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
Moves
a registration end followed by a registration begin elsewhere
Signals
No dated event on this person.
Transition signals

Mobility scoring is not published yet.

Provenance
Source
IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class
Broker-dealer affiliated wealth managerderived
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