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A•••••• O••••

Registered advisorat U•• F•••••••• S••••••• I•••Dual registrant· Greensboro, NcIAPD 5225981
At current firm
19 y
since Jan 3, 2007
In the industry
20 y
Prior registered firms
0
Signals
0
As of · the IAPD feed; also filed as T••• O••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
  • Practice attractivenesssome
    19.7 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 signalnotable
    2 of 2 dated or circumstantial readings historically went with moving: 20%+ of the office left 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 mobilitynone
    0 prior firms. 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 days
    At UBS, 14.9% with this moved within a year, against 5.5% without it (2.73x, 2023 to 2025 cohorts).
  • move indicatorTwo or more known colleagues moved in the prior 180 days
    At UBS, 9.0% with this moved within a year, against 5.4% without it (1.67x, 2023 to 2025 cohorts).
Career
  • 19.8 years in the industry
  • 19.8 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).
Source: SEC IAPD per-person record
Licensing and credentials
  • Registered in 36 states (firm median 2)
  • Exams: SIE, 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
  • 3 of about 10 in the office left in the last 180 days
  • 5 known colleagues changed firms in the last year
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
    No firm change on the tape.
    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
    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