DFX Intelligence
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T•••••• A•• L•••
As of · the IAPD feed; also filed as T•••••• A• L••••••••• L••••••••• A• O••••••••• O••••••
- At current firm
- 7 y
- In the industry
- 22 y
- Prior registered firms
- 0
- Signals
- 0
since Apr 4, 2019
As of · the IAPD feed; also filed as T•••••• A• L••••••••• L••••••••• A• O••••••••• O••••••
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
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 activitysomeDetails 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
- 7.5 years in the industry
- 7.5 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 31 states (firm median 2)
- Exams: SIE, Series 66, Series 7TO
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 1 of about 6 in the office left in the last 180 days
- 1 known colleagues changed firms in the last year
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
- 1 disclosed outside organisation
- Owner, founder or manager of 1
- 1 also disclosed by other registered advisors
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- someReal estate activity1 real-estate entity disclosed.
- someBusiness network connectivityThrough these entities DFX sees 0 other people named in public records and 1 other registered advisors who disclose the same entities. These are observed business connections, not clients.
- someExternal business breadthOutside business spans 1 category: real estate.
- Owner, 50% · since 2015-07-15
Owns one rental property, maintains it and pays the mortgage (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice; 1 colleague at the same firm discloses the same entity.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 4, 2019 · Littleton, Co
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
- 22derivedfrom 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