DFX Intelligence
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B•••• A••• P••••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Chicago, Il IAPD 6834523
As of · the IAPD feed; also filed as B•••• P••••••
- At current firm
- 5 y
- In the industry
- 10 y
- Prior registered firms
- 0
- Signals
- 0
since Dec 17, 2020
As of · the IAPD feed; also filed as B•••• P••••••
State registrations
3
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
- ••• Locked
- ••• Locked
Recruiting value
- Practice attractivenessnoneno observable scale indicator beyond registration
- 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 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 Baseline band.
- Recent change activitysomeDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone0 prior firms. Patterns that went with staying: controls an advisory, holding or investment entity (any age).
Career
- 5.8 years in the industry
- 5.8 years at the current firm
- 0 prior registered firms
- retention indicatorcontrols an advisory, holding or investment entity (any age)At Merrill, 2.7% with this moved within a year, against 6.1% without it (0.44x, 2023 to 2025 cohorts).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 51 states (firm median 2); added CA in the last 180 days
- Exams: SIE, Series 10, Series 31, Series 66, Series 7, Series 9
- Supervisory exams: Series 10, Series 9
- 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
- Owner, founder or manager of 2
- Board, trustee or officer seat at 1
Why it may matter
- notableEntrepreneurial activityOwns, founded or manages 2 business entities outside the advisory practice (self-disclosed on Form U4).
- notableExternal business breadthOutside business spans 2 categories: holding company, operating company.
- someCommunity and board roles1 board, trustee or officer role in outside organisations.
- someIndependence-related evidenceControls 1 advisory, holding or investment entity. In this channel DFX measured no association between this and moving firms.
- M••• o• t•• M••••••Operating companyPartner, Managing member, Owner · since 2023-10-13
Ecommerce lifestyle brand selling M••• inspired apparel and household goods (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice.
self-disclosed on Form U4 - S••••••••• R•••••• G••••NonprofitDirector · since 2018-08-01
Fundraising and donations to schools who need assistance (the advisor's own disclosure)
Sits on the board or serves as an officer of a nonprofit.
self-disclosed on Form U4 - B•••• A• P•••••• L••Holding companyOwner, Member · since 2023-05-05
Single member LLC holding personal assets and debt for liability protection (the advisor's own disclosure)
Owns or founded a holding company outside the advisory practice.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 17, 2020 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
No firm change on the tape.
Signals
No dated event on this person.
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.
Mobility scoring is not published yet.
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