DFX Intelligence
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H••••• J•••• R••••
As of · the IAPD feed
- At current firm
- 2 y
- In the industry
- 5.5 y
- Prior registered firms
- 0
- Signals
- 0
since Sep 19, 2024
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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 profilenoneNamed in the full brief.
- Real estate activitynoneNamed in the full brief.
- 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 activitynoneNamed in the full brief.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone0 prior firms.
Career
- 5.5 years in the industry
- 2 years at the current firm
- 0 prior registered firms
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
- Registered in 1 state (firm median 1)
- Exams: Series 63, 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
- 1 known colleagues changed firms in the last year
Regulatory record
In the full brief, with the official record linked.
+3 details in the full brief
The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.
Includes 3 days of DFX Intelligence. Then $249/month unless canceled.
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• brokerage advisory currentsince Sep 19, 2024 · Brookfield, Wi
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
- Brokerage advisory programderived
- Years in industry
- 5.5 yderivedfrom the earlier of the first exam and the first registration on IAPD
- 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