DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
S•••• J••• H•••••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Louisville, KyIAPD 6349651
As of · the IAPD feed; also filed as S•••• J••• M••••••••• J••• M••••••• H••••••••• J••• M••••••• H••••••••• H•••••••
- At current firm
- 4 y
- In the industry
- 12 y
- Prior registered firms
- 4
- Signals
- 1
since Jun 28, 2022
As of · the IAPD feed; also filed as S•••• J••• M••••••••• J••• M••••••• H••••••••• J••• M••••••• H••••••••• H•••••••
State registrations
2
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 attractivenesssome12.1 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.
- Contactabilitystrongverified business email (hunter)
Movement evidence
- Movement signalnone0 of 0 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 mobilitynotable5 prior firms, median stay 2.1 years. Career patterns that historically went with moving: three or more firms per decade of career.
Career
- 12.1 years in the industry
- 4.2 years at the current firm
- 5 prior registered firms; median stay 2.1 years
- Path: broker-dealer affiliated to national broker-dealer RIA to wirehouse
- move indicatorthree or more firms per decade of careerAt Merrill, 18.0% with this moved within a year, against 5.6% without it (3.19x, 2023 to 2025 cohorts).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 37 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
- 2 of about 38 in the office left 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
- 1 disclosed outside organisation
Why it may matter
- someExternal business breadthOutside business spans 1 category: unclear.
- S•• M•••• L••Type not statedEmployee · since Feb 2021
Involved with an outside organisation.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 28, 2022 · Louisville, Ky
- A••••••••• F•••••••• S•••••••• L•• national BDNov 1, 2019 to Jul 5, 2022 · Louisville, Ky
- A••••• A•• P••••••• S••••••• BD affiliatedSep 7, 2017 to Oct 10, 2019 · Louisville, Ky
- E•••••••• A•••••••• L•• BD affiliatedDec 12, 2014 to Sep 1, 2017 · Cincinnati, Oh
- L•• F•••••••• L•• BD affiliatedAug 12, 2014 to Dec 22, 2014 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 5, 2022, registered Jun 28, 2022 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- A••••• A•• P••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 10, 2019, registered Nov 1, 2019 (22 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 1, 2017, registered Sep 7, 2017 (6 days) · Other
- L•• F•••••••• L•• to E•••••••• A•••••••• L••left Dec 22, 2014, registered Dec 12, 2014 (-10 days) · Other
Signals
- ••• LockedJul 5, 2022 · 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
- 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