DFX Intelligence
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J••••••• A••••• C•••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Kingwood, TxIAPD 6643986
As of · the IAPD feed; also filed as A••• C•••••
- At current firm
- 3 y
- In the industry
- 10 y
- Prior registered firms
- 1
- Signals
- 1
since Jun 16, 2023
As of · the IAPD feed; also filed as A••• C•••••
State registrations
1
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 attractivenesssome10.1 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 profilesomeDetails are shown to subscribers.
- Real estate activitysomeDetails are shown to subscribers.
- Contactabilitystrongverified business email at ml.com (apollo)
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 activitynotableDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 6.9 years.
Career
- 10.1 years in the industry
- 3.3 years at the current firm
- 1 prior registered firm; median stay 6.9 years
- Path: national broker-dealer RIA to wirehouse
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 2 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
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
- 7 disclosed outside organisations
- Owner, founder or manager of 2
- Board, trustee or officer seat at 3
- 2 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.
- notableCommunity and board roles3 board, trustee or officer roles in outside organisations.
- notableRecent external activity2 outside activities with a start date in the last 12 months.
- A• C••••• I••Real estateManaging member, Owner, Manager · since 2023-11-01
spouse's real estate business (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice.
self-disclosed on Form U4 - Officer · since 2026-02-14
Sits on the board or serves as an officer of a civic or government body; started within the last 12 months.
self-disclosed on Form U4 - B••••••• N••••••••• I••••••••• ••••NonprofitOfficer · since 2025-05-07
business networking organization (the advisor's own disclosure)
Sits on the board or serves as an officer of a nonprofit.
self-disclosed on Form U4 - G••• I••••• T••• 1•Civic or governmentDirector · since 2024-01-01
Sits on the board or serves as an officer of a civic or government body.
self-disclosed on Form U4 - Other role · since 2026-03-09
advises C••• Council on utility impact fees (the advisor's own disclosure)
Involved with a civic or government body; started within the last 12 months.
self-disclosed on Form U4
View all 7 outside organisationsShow fewer
- D••••• L••••••••• R•••••••••NonprofitMember · since 2025-09-01
quarterly roundtable discussions about community issues with local leaders (the advisor's own disclosure)
Holds a management or partner role in a nonprofit.
self-disclosed on Form U4 - D••••• T•••• P••••• D•••••••••Civic or governmentOther role · since 2024-05-01
Involved with a civic or government body.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 16, 2023 · Kingwood, Tx
- E••••• J•••• national BDOct 21, 2016 to Jun 27, 2023 · Dayton, Tx
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 27, 2023, registered Jun 16, 2023 (-11 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJun 27, 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
- Wirehousederived
- Years in industry
- 10derivedfrom 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