DFX Intelligence
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Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Green Bay, WiIAPD 6270282
As of · the IAPD feed
- At current firm
- 4 y
- In the industry
- 12 y
- Prior registered firms
- 1
- Signals
- 0
since Sep 28, 2021
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
- ••• Locked
Recruiting value
- Practice attractivenesssome12.7 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 profilenotableDetails are shown to subscribers.
- Real estate activitynotableDetails are shown to subscribers.
- Contactabilitystrongverified business email at ml.com (hunter); LinkedIn profile
Movement evidence
- Movement signalnone0 of 2 dated or circumstantial readings 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 7.8 years. Patterns that went with staying: controls an advisory, holding or investment entity (any age).
Dated changes and circumstances, and what they have meant historically
- weak retention associationTwo or more known colleagues moved in the prior 180 daysAt Merrill, 4.9% with this moved within a year, against 6.0% without it (0.81x, 2023 to 2025 cohorts).
- weak retention associationA known colleague moved to an independent RIA in the prior 180 daysAt Merrill, 4.8% with this moved within a year, against 6.0% without it (0.80x, 2023 to 2025 cohorts).
Career
- 12.8 years in the industry
- 5 years at the current firm
- 1 prior registered firm; median stay 7.8 years
- Path: national broker-dealer RIA to wirehouse
- retention indicatorcontrols an advisory, holding or investment entity (any age)At Merrill, 2.7% with this moved within a year, against 6.1% without it (0.44x, 2023 to 2025 cohorts).
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 52 states (firm median 2)
- Exams: SIE, Series 10, Series 31, Series 66, Series 7, Series 9
- Supervisory exams: Series 10, Series 9
- 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 17 in the office left in the last 180 days
- 3 known colleagues changed firms in the last year
- 1 went to an independent RIA in the last 180 days
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 5
Why it may matter
- strongEntrepreneurial activityOwns, founded or manages 5 business entities outside the advisory practice (self-disclosed on Form U4).
- notableReal estate activity2 real-estate entities disclosed.
- notableExternal business breadthOutside business spans 2 categories: holding company, real estate.
- someIndependence-related evidenceControls 3 advisory, holding or investment entities. In this channel DFX measured no association between this and moving firms.
- G•••• B••••••• L••Real estateManaging member · since 2023-04-11
Investment and Farming land (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice.
self-disclosed on Form U4 - V•••••• o• H••••• P••••• a•• F••• C•••••••••Civic or governmentOther role · since 2023-02-08
governs village police and fire departments (the advisor's own disclosure)
Involved with a civic or government body.
self-disclosed on Form U4 - G•••• B•••••• L••Real estateOwner · since 2022-05-31
Collect Farming Rental Income (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice.
self-disclosed on Form U4 - S••• l••• I• N•••• L••Holding companyManaging member · since 2023-07-28
Holding Company (the advisor's own disclosure)
Owns or founded a holding company outside the advisory practice.
self-disclosed on Form U4 - Y••••••• L••Holding companyManaging member · since 2023-04-11
LLC holding company (the advisor's own disclosure)
Owns or founded a holding company outside the advisory practice.
self-disclosed on Form U4
View all 6 outside organisationsShow fewer
- Z•• D•• L••Holding companyOwner · since 2022-01-01
To hold the Parcel (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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 28, 2021 · Green Bay, Wi
- E••••• J•••• national BDFeb 24, 2014 to Sep 30, 2021 · Green Bay, Wi
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 30, 2021, registered Sep 28, 2021 (-2 days) · Affiliated broker-dealer or bank to wirehouse
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
- 12derivedfrom 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