DFX Intelligence
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C•••••• A•••••• T•••••••••
As of · the IAPD feed; also filed as C•••••• A•••••• T•••••••••
- At current firm
- 8 y
- In the industry
- 13 y
- Prior registered firms
- 0
- Signals
- 0
since Jul 16, 2018
As of · the IAPD feed; also filed as C•••••• A•••••• T•••••••••
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 attractivenesssomepersonal book $25M to $250M (estimated)
- 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 activitynotableDetails 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 activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone0 prior firms.
Career
- 8.2 years in the industry
- 8.2 years at the current firm
- 0 prior registered firms
- Personal book $25M to $250M (estimated)
Source: the per-person IAPD record (broker and adviser registrations)
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
- 4 disclosed outside organisations
- Owner, founder or manager of 3
- Board, trustee or officer seat at 1
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- notableReal estate activity2 real-estate entities disclosed.
- someExternal business breadthOutside business spans 1 category: real estate.
- someCommunity and board roles1 board, trustee or officer role in outside organisations.
- L• T•••• I••••••••• L••Real estateOwner, 100% · since May 2018
Owns immovable property in B•••• R•••• with a building housing tools and equipment (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice.
self-disclosed on Form U4 - Director, President · since 2019-10-01
Fraternity alumni board overseeing the undergraduate chapter (the advisor's own disclosure)
Holds a management or partner role in a nonprofit.
self-disclosed on Form U4 - T••••• O•••••• A••••••••• L••Real estateRole not stated · since 2019-10-01
LLC to buy or lease real estate to hunt or fish on (the advisor's own disclosure)
Involved with a real-estate entity.
self-disclosed on Form U4 - Member · since 2023-04-14
Professional council of estate planning practitioners exchanging ideas (the advisor's own disclosure)
Holds a management or partner role in a nonprofit.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 16, 2018 · Baton Rouge, La
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
- 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