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.
This advisor's name
Career history, every move, licensing and registration changes, outside business activity and the contact routes the firm publishes, each with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
A Financial Advisor In Kentucky
Certified Financial Planner
As of · the IAPD feed
- At current firm
- 19 y
- In the industry
- 19.4 y
- Prior registered firms
- 0
- Signals
- 0
since May 10, 2007
As of · the IAPD feed
State registrations
2
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 attractivenessnotablepersonal book $25M to $250M (estimated); designations Certified Financial Planner; 19.4 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 profilenoneNamed in the full brief.
- Real estate activitynoneNamed in the full brief.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
- Recent change activitynoneNamed in the full brief.
- 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.
Career
- 19.4 years in the industry
- 19.4 years at the current firm
- 0 prior registered firms
- Personal book $25M to $250M (estimated)
- retention indicatorfifteen or more years at the current firmAt Wells Fargo, 2.9% with this moved within a year, against 6.1% without it (0.48x, 2023 to 2025 cohorts).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 21 states (firm median 2)
- Exams: SIE, Series 66, Series 7
- Designations: Certified Financial Planner
- 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
In the full brief, with the official record linked.
+5 details in the full brief
The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
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
- 1 disclosed outside organisation
- 1 started or first disclosed in the last 12 months
- Other role · since 2026-10-01
Non-profit organization that is Kentucky's largest pet adoption agency (the advisor's own disclosure)
Involved with a nonprofit; filed to start on 2026-10-01.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- Wells Fargo Advisors wirehouse currentsince May 10, 2007 · Louisville, Ky
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
- 19.4 yderivedfrom the earlier of the first exam and the first registration on IAPD
- 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