DFX Intelligence
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R••••• T•••••••••
As of · the IAPD feed
- At current firm
- 3 y
- In the industry
- 18 y
- Prior registered firms
- 4
- Signals
- 1
since Dec 14, 2022
As of · the IAPD feed
State registrations
1
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 attractivenesssome18.3 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 profilestrongDetails are shown to subscribers.
- Real estate activitynotableDetails are shown to subscribers.
- 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 activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome3 prior firms, median stay 6.4 years.
Career
- 18.3 years in the industry
- 3.8 years at the current firm
- 3 prior registered firms; median stay 6.4 years
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 9 states (firm median 2)
- Exams: SIE, Series 31, 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
- 2 of about 50 in the office left in the last 180 days
- 1 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
- 6 disclosed outside organisations
- Owner, founder or manager of 6
Why it may matter
- strongEntrepreneurial activityOwns, founded or manages 6 business entities outside the advisory practice (self-disclosed on Form U4).
- notableReal estate activity2 real-estate entities disclosed.
- strongExternal business breadthOutside business spans 4 categories: holding company, hospitality, operating company, real estate.
- someIndependence-related evidenceControls 1 advisory, holding or investment entity. In this channel DFX measured no association between this and moving firms.
- R•••••• L••Real estateOwner, Manager, 50% · since 2021-12-01
Rental property (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice.
self-disclosed on Form U4 - B•••••• C•••••• L••Real estateOwner, Manager, Landlord, 100% · since 2018-09-01
Commercial real estate rental property (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice.
self-disclosed on Form U4 - D•••• C••• F•• B•••• L••Operating companyOwner, 100% · since 2013-11-28
Antique cars (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice.
self-disclosed on Form U4 - T•••••••• M•••••• S••••••••• L••Operating companyOwner, Manager, 100% · since 2010-11-22
Equipment leasing and franchise purchasing (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice.
self-disclosed on Form U4 - O••••• V•••••• L••Restaurant and hospitalityOwner, Partner, 5%
Fords Garage restaurant (the advisor's own disclosure)
Owns or founded a hospitality business outside the advisory practice.
self-disclosed on Form U4
View all 6 outside organisationsShow fewer
- T••••••••• F••••• L•• P•••••••••Holding companyOwner, 10% · since 1994-01-01
Family limited partnership for estate planning (the advisor's own disclosure)
Owns or founded a holding company outside the advisory practice.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Dec 14, 2022 · Tampa, Fl
- U•• F•••••••• S••••••• I••• wirehouseAug 29, 2016 to Jan 3, 2023 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 27, 2010 to Aug 29, 2016 · Tampa, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 19, 2010 · Tampa, Fl
- M••••• S•••••• • C•• L•• unclassifiedJun 25, 2008 to Jun 1, 2009 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jan 3, 2023, registered Dec 14, 2022 (-20 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Aug 29, 2016, registered Aug 29, 2016 (0 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 19, 2010, registered Apr 27, 2010 (8 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJan 3, 2023 · Advisor changed firm · fact
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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 18derivedfrom 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