DFX Intelligence
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Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Eau Claire, WiIAPD 6468561
As of · the IAPD feed
- At current firm
- 3 y
- In the industry
- 11.3 y
- Prior registered firms
- 2
- Signals
- 1
since Dec 2, 2022
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
Recruiting value
- Practice attractivenesssome11 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 profilesomeNamed in the full brief.
- Real estate activitysomeNamed in the full brief.
- Contactabilityweakno contact route found
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 activitysomeNamed in the full brief.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 1.9 years.
Career
- 11.3 years in the industry
- 3.8 years at the current firm
- 2 prior registered firms; median stay 1.9 years
- Path: wirehouse to broker-dealer affiliated to wirehouse
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 26 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
- No recent movement observed around this advisor.
Regulatory record
In the full brief, with the official record linked.
+8 details in the full brief
The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
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
- Owner, founder or manager of 1
- 1 started or first disclosed in the last 12 months
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- someReal estate activity1 real-estate entity disclosed.
- someExternal business breadthOutside business spans 1 category: real estate.
- someRecent external activity1 outside activity with a start date in the last 12 months.
- Owner · since 2026-04-23
cabin being built to become a short term rental (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice; started within the last 12 months.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 2, 2022 · Eau Claire, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 5, 2021 to Dec 20, 2022 · Eau Claire, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 1, 2015 to Feb 3, 2021 · Eau Claire, Wi
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 20, 2022, registered Dec 2, 2022 (-18 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 3, 2021, registered Feb 5, 2021 (2 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedDec 20, 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
- 11.3 yderivedfrom the SEC's own industry start on the per-person IAPD record
- 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