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R••• H•••• K•••••••

Registered advisorat U•• F•••••••• S••••••• I•••Dual registrant· Dallas, Tx IAPD 5221445
At current firm
17 y
since Nov 10, 2008
In the industry
19 y
Prior registered firms
1
Signals
0
As of · the IAPD feed
State registrations
2
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
  • ••• Locked
Recruiting value
  • Practice attractivenesssome
    19.5 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.
  • Contactabilitypartial
    ESTIMATED email an address at ubs.com (style first.last@ubs.com reproduced 74 of 75 confident provider/published addresses at this firm (95% CI 93% to 100%); firm deliverability sample: UNVERIFIABLE (accept-all domain: the server accepts every address))
Movement evidence
  • Movement signalnone
    0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
  • Recent change activitynone
    Details are shown to subscribers.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitysome
    2 prior firms, median stay 1 years. Patterns that went with staying: fifteen or more years at the current firm.
Career
  • 19.5 years in the industry
  • 17.9 years at the current firm
  • 2 prior registered firms; median stay 1 year
  • 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).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
  • Registered in 43 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
  • No recent movement observed around this advisor.
Regulatory record

Shown to subscribers, with the official record linked.

Outside business and network
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
  • 2 disclosed outside organisations
  • Board, trustee or officer seat at 2
  • 1 also disclosed by other registered advisors
Why it may matter
  • notableCommunity and board roles2 board, trustee or officer roles in outside organisations.
Registration history
IAPD current and previous registrations
  • L••••• B••••••• I••• unclassified
    Mar 26, 2008 to Oct 15, 2008 · New York, Ny
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
Wirehousederived
Years in industry
19derivedfrom 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