DFX Intelligence
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D••••• D••••• W••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Statesville, NcIAPD 6907658
As of · the IAPD feed; also filed as S••••• D••••• D•••••
- At current firm
- 3 y
- In the industry
- 17 y
- Prior registered firms
- 1
- Signals
- 1
since Dec 5, 2022
As of · the IAPD feed; also filed as S••••• D••••• D•••••
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 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 profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilitystrongverified business email at ml.com (hunter)
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 activitysomeDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 4.6 years.
Career
- 8.4 years in the industry
- 3.8 years at the current firm
- 1 prior registered firm; median stay 4.6 years
- Path: national broker-dealer RIA to wirehouse
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 22 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
- 6 disclosed outside organisations
- Owner, founder or manager of 2
- Board, trustee or officer seat at 1
- 1 started or first disclosed in the last 12 months
Why it may matter
- someCommunity and board roles1 board, trustee or officer role in outside organisations.
- someRecent external activity1 outside activity with a start date in the last 12 months.
- P••••••••• A••• L••• I••••••NonprofitDirector · since 2025-05-20
Promotes live musical concerts and supports local young artists (the advisor's own disclosure)
Sits on the board or serves as an officer of a nonprofit.
self-disclosed on Form U4 - Other role · since 2026-03-03
Board of elections (the advisor's own disclosure)
Involved with a civic or government body; started within the last 12 months.
self-disclosed on Form U4 - F••••••••• U••••• M•••••••• C•••••Religious organisationMember · since 2023-04-01
M•••••••• church (the advisor's own disclosure)
Holds a management or partner role in a religious organisation.
self-disclosed on Form U4 - G••• o• N• S••••••••• W•••••• C•••Civic or governmentMember, Volunteer · since 2022-03-01
Civic club involved in civic and volunteer activities (the advisor's own disclosure)
Holds a management or partner role in a civic or government body.
self-disclosed on Form U4 - Volunteer · since 2021-07-29
Raises funds for capital improvements to N•••• I•••••• High School facilities (the advisor's own disclosure)
Involved with a nonprofit.
self-disclosed on Form U4
View all 6 outside organisationsShow fewer
- S••••••••• C•••••• o• C•••••••NonprofitVolunteer · since 2019-03-01
C•••••• of commerce (the advisor's own disclosure)
Involved with a nonprofit.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 5, 2022 · Statesville, Nc
- E••••• J•••• national BDJun 4, 2018 to Dec 8, 2022 · Statesville, Nc
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 8, 2022, registered Dec 5, 2022 (-3 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedDec 8, 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
- 17derivedfrom 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