DFX Intelligence
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A•••••••• M••••
As of · the IAPD feed; also filed as A•••••••• I• M••••
- At current firm
- 3 y
- In the industry
- 19 y
- Prior registered firms
- 2
- Signals
- 1
since Apr 28, 2023
As of · the IAPD feed; also filed as A•••••••• I• M••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
- Practice attractivenesssomepersonal book $25M to $250M (estimated); 12.3 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 profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- ContactabilityweakPublished: no published contact point.
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Elevated band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 4.3 years.
Career
- 12.3 years in the industry
- 3.4 years at the current firm
- 2 prior registered firms; median stay 4.3 years
- Path: national broker-dealer RIA to broker-dealer affiliated to national broker-dealer RIA
- Personal book $25M to $250M (estimated)
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
- Registered in 1 state (firm median 1)
- Exams: Series 66
- Registered as a broker as well as an adviser
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
- 2 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
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 28, 2023 · Falmouth, Me
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 16, 2019 to May 5, 2023 · Falmouth, Me
- E••••• J•••• national BDSep 2, 2014 to Sep 17, 2019 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left May 5, 2023, registered Apr 28, 2023 (-7 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to M•• I•••••••• S•••••••• L••left Sep 17, 2019, registered Sep 16, 2019 (-1 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedMay 5, 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom 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