DFX Intelligence
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R••••• K•••• M•••••••••
As of · the IAPD feed; also filed as R•• M••••••••• M•••••••••
- At current firm
- 5 y
- In the industry
- 16 y
- Prior registered firms
- 1
- Signals
- 0
since Jul 21, 2021
As of · the IAPD feed; also filed as R•• M••••••••• M•••••••••
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 attractivenesssome16 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 profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilitypartialcatch-all email (domain accepts every address, unverifiable) at lpl.com
Movement evidence
- Movement signalnone0 of 1 dated or circumstantial reading historically went with moving. The forward-tested move model places this advisor in its Highly elevated band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 11.1 years. Patterns that went with staying: median tenure at prior firms eight years or more.
Dated changes and circumstances, and what they have meant historically
- weak move association20%+ of the office left in the prior 180 daysAt LPL, 7.0% with this moved within a year, against 4.0% without it (1.75x, 2023 to 2025 cohorts).
Career
- 16 years in the industry
- 5.2 years at the current firm
- 1 prior registered firm; median stay 11.1 years
- retention indicatormedian tenure at prior firms eight years or moreAt LPL, 2.0% with this moved within a year, against 4.6% without it (0.45x, 2023 to 2025 cohorts).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 9 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
- 15 of about 41 in the office left in the last 180 days
- 18 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
- 1 disclosed outside organisation
- W•• I•••••••• A•••••••InsuranceAgent · since Apr 2010
I•••••••• sales (the advisor's own disclosure)
An insurance appointment or agency relationship, the most common outside activity among advisors.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Roseville, Ca
- W•••••• • R••• formerOct 6, 2010 to Jul 21, 2021 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom 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