DFX Intelligence

RIA Intelligence

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Registered advisorat C•••••• S••••• • C••• I•••Dual registrant· Jacksonville, Fl IAPD 6441770
At current firm
4 y
since Nov 16, 2021
In the industry
11 y
Prior registered firms
5
Signals
1
As of · the IAPD feed; also filed as N••• R•••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
  • Practice attractivenesssome
    11.5 years in the industry
  • Team depthnone
    0 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 profilenone
    Details are shown to subscribers.
  • Real estate activitynone
    Details are shown to subscribers.
  • Contactabilityweak
    no contact route found
Movement evidence
  • Movement signalnone
    0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
  • Recent change activitynone
    Details are shown to subscribers.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitystrong
    4 prior firms, median stay 1.2 years. Career patterns that historically went with moving: three or more firms per decade of career; held a registration at an independent RIA before the current firm.
Career
  • 11.5 years in the industry
  • 4.8 years at the current firm
  • 4 prior registered firms; median stay 1.2 years
  • Path: brokerage advisory to wirehouse to brokerage advisory
  • move indicatorthree or more firms per decade of careerAt BROKERAGE_ADVISORY, 7.2% with this moved within a year, against 4.3% without it (1.68x, 2023 to 2025 cohorts).
  • move indicatorheld a registration at an independent RIA before the current firmAt BROKERAGE_ADVISORY, 6.6% with this moved within a year, against 4.4% without it (1.51x, 2023 to 2025 cohorts).
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
  • Registered in 2 states (firm median 1)
  • Exams: Series 63, 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
  • 1 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
Moves
a registration end followed by a registration begin elsewhere
Signals
  • ••• Locked
    Sep 7, 2023 · Advisor departure · fact
Transition signals

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
Brokerage advisory programderived
Years in industry
11derivedfrom 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