DFX Intelligence
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M•••••• H• B•••••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· New York, NyIAPD 6666245
As of · the IAPD feed; also filed as M•••••• H• B••••••••• B••••••••• H••••••• B•••••••
- At current firm
- 2 y
- In the industry
- 13 y
- Prior registered firms
- 2
- Signals
- 1
since Aug 15, 2024
As of · the IAPD feed; also filed as M•••••• H• B••••••••• B••••••••• H••••••• B•••••••
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
- ••• Locked
Recruiting value
- Practice attractivenessnoneno observable scale indicator beyond registration
- Team depthnone0 of the 2 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.
- 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 Elevated band.
- Recent change activitynotableDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 2.7 years.
Career
- 8 years in the industry
- 2.1 years at the current firm
- 1 prior registered firm; median stay 2.7 years
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 45 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
- 3 disclosed outside organisations
- Board, trustee or officer seat at 2
- 1 also disclosed by other registered advisors
- 2 started or first disclosed in the last 12 months
Why it may matter
- notableCommunity and board roles2 board, trustee or officer roles in outside organisations.
- notableRecent external activity2 outside activities with a start date in the last 12 months.
- Director · since 2026-04-14
Nonprofit bringing the benefits of running to schools and communities serving children of all abilities (the advisor's own disclosure)
Sits on the board or serves as an officer of a nonprofit; started within the last 12 months.
self-disclosed on Form U4 - Director, Officer · since 2022-06-03
S••••• alumni association (the advisor's own disclosure)
Sits on the board or serves as an officer of a nonprofit.
self-disclosed on Form U4 - Volunteer · since 2025-12-01
S••••• capital campaign funding a wellness center, classrooms and campus renovations (the advisor's own disclosure)
Involved with an educational institution; 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 Aug 15, 2024 · New York, Ny
- M••••• S•••••• wirehouseNov 12, 2021 to Jul 31, 2024 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 16, 2018 to Oct 4, 2021 · Iselin, Nj
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 31, 2024, registered Aug 15, 2024 (15 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 4, 2021, registered Nov 12, 2021 (39 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedJul 31, 2024 · 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
- 13derivedfrom 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