DFX Intelligence

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G••••• C•••••••••

Registered advisorat W•••• F•••• A•••••••Dual registrant· Chicago, IlIAPD 7268540
In the industry
10 y
Prior registered firms
1
Signals
1
As of · the IAPD feed
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
  • ••• Locked
Recruiting value
  • Practice attractivenessnone
    no observable scale indicator beyond registration
  • 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 signalnone
    0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
  • Recent change activitysome
    Details are shown to subscribers.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitynone
    1 prior firm, median stay 5 years.
Career
  • 5.8 years in the industry
  • 0.9 years at the current firm
  • 1 prior registered firm; median stay 5 years
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
  • Registered in 30 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
  • No recent movement observed around this advisor.
Regulatory record

Shown to subscribers, with the official record linked.

Outside business and network
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
  • 5 disclosed outside organisations
  • Board, trustee or officer seat at 5
  • 1 also disclosed by other registered advisors
Why it may matter
  • strongCommunity and board roles5 board, trustee or officer roles in outside organisations.
  • P•••••• L••• C••••••Nonprofittax-exempt
    Director · since 2025-02-17

    Provides academic, athletic and professional resources to vulnerable populations in C•••••• (the advisor's own disclosure)

    Sits on the board or serves as an officer of a nonprofit.

    self-disclosed on Form U4
  • S••••• G•••Nonprofittax-exempt
    Director · since 2025-02-17

    Mindfulness and SEL-based art programming and public art projects empowering youth (the advisor's own disclosure)

    Sits on the board or serves as an officer of a nonprofit.

    self-disclosed on Form U4
  • C••••••••• M••• M•••••••• P••••••Nonprofit
    Director · since 2025-02-10

    M•••••••• program educating and empowering young men (the advisor's own disclosure)

    Sits on the board or serves as an officer of a nonprofit.

    self-disclosed on Form U4
  • P•••• o• P•••••••••Nonprofittax-exempt
    Director · since 2025-02-10

    Nonprofit connecting underrepresented youth with mentors in STEM, finance, entrepreneurship and law (the advisor's own disclosure)

    Sits on the board or serves as an officer of a nonprofit.

    self-disclosed on Form U4
  • S••••••• t• S•••••Nonprofittax-exempt
    Director · since 2024-12-03

    Charity working to increase the number of young men of color in the medical field (the advisor's own disclosure)

    Sits on the board or serves as an officer of a nonprofit.

    self-disclosed on Form U4
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • ••• Locked
    Oct 14, 2025 · 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
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