DFX Intelligence

RIA Intelligence

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E•••• A•••••• Z•••••

Registered advisorat R•• C•••••• M••••••• L••Dual registrant· La Jolla, Ca IAPD 6932774
At current firm
1 y
since Jan 13, 2025
In the industry
12 y
Prior registered firms
2
Signals
1
As of · the IAPD feed; also filed as E•••• A•••••• Z••••••••• Z•••••
State registrations
1
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
Recruiting value
  • Practice attractivenesssome
    personal book $25M to $250M (estimated)
  • Team depthnone
    0 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 profilenone
    Details are shown to subscribers.
  • Real estate activitynone
    Details are shown to subscribers.
  • Contactabilityweak
    no contact route found
Movement evidence
  • Movement signalnotable
    2 of 2 dated or circumstantial readings historically went with moving: 20%+ of the office left in the prior 180 days; two or more known colleagues moved in the prior 180 days. The forward-tested move model places this advisor in its Elevated band.
  • Recent change activitynone
    Details are shown to subscribers.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitysome
    2 prior firms, median stay 2.9 years.
Dated changes and circumstances, and what they have meant historically
  • move indicator20%+ of the office left in the prior 180 days
    At national broker-dealer RIAs, 7.2% with this moved within a year, against 3.9% without it (1.87x, 2023 to 2025 cohorts).
  • move indicatorTwo or more known colleagues moved in the prior 180 days
    At national broker-dealer RIAs, 5.0% with this moved within a year, against 3.8% without it (1.30x, 2023 to 2025 cohorts).
Career
  • 8.3 years in the industry
  • 1.7 years at the current firm
  • 2 prior registered firms; median stay 2.9 years
  • Path: national broker-dealer RIA to wirehouse to national broker-dealer RIA
  • Personal book $25M to $250M (estimated)
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
  • Registered in 1 state (firm median 2)
  • Exams: Series 66
  • Registered as a broker as well as an adviser
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
  • 5 of about 15 in the office left in the last 180 days
  • 4 known colleagues changed firms in the last year
Regulatory record

Shown to subscribers, with the official record linked.

Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • ••• Locked
    Jun 24, 2024 · Advisor changed firm · fact
Transition signals

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
National broker-dealer RIAderived
Years in industry
12derivedfrom 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