DFX Intelligence
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S•••••• M••••••
As of · the IAPD feed; also filed as S•••••• M••••••••• E• M••••••••• E•••••••• C••••••••• E•••••••• M••••••
- At current firm
- 7 y
- In the industry
- 17 y
- Prior registered firms
- 3
- Signals
- 0
since Feb 20, 2019
As of · the IAPD feed; also filed as S•••••• M••••••••• E• M••••••••• E•••••••• C••••••••• E•••••••• M••••••
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 attractivenessnoneno observable scale indicator beyond registration
- 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 profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalsomeOne dated reason measured to go with moving: This office went from 11 to 8 registered advisors over the last year, with 3 leaving for other firms (latest 2026-09-14) (2.1x the base rate).
- Recent change activitysomeDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome3 prior firms, median stay 3 years.
Career
- 17 years in the industry
- 8 years at the current firm
- 4 prior registered firms; median stay 3 years
- Path: bank affiliated to national broker-dealer RIA
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 24 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
- 1 of about 9 in the office left in the last 180 days
- 4 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
- E••••• J•••• national BD currentsince Feb 20, 2019 · Mckinney, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDAug 10, 2012 to Nov 8, 2012 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 15, 2012 · Las Vegas, Nv
- W•••• F•••• I••••••••• L•• unclassifiedMar 31, 2009 to Jan 3, 2011 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Nov 8, 2012, registered Feb 20, 2019 (2295 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 15, 2012, registered Aug 10, 2012 (148 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom 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