DFX Intelligence
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M••••• A•••• M•••••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· The Woodlands, TxIAPD 7490523
As of · the IAPD feed; also filed as M••••• M••••••••• M••••••• J•••••••• A•••• M•••••••
- At current firm
- 1 y
- In the industry
- 10 y
- Prior registered firms
- 1
- Signals
- 1
since Feb 6, 2025
As of · the IAPD feed; also filed as M••••• M••••••••• M••••••• J•••••••• A•••• M•••••••
State registrations
1
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 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 profilesomeDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalnone0 of 1 dated or circumstantial reading historically went with moving. The forward-tested move model places this advisor in its Elevated band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 2.6 years.
Dated changes and circumstances, and what they have meant historically
- weak retention associationTwo or more known colleagues moved in the prior 180 daysAt Merrill, 4.9% with this moved within a year, against 6.0% without it (0.81x, 2023 to 2025 cohorts).
Career
- 4.2 years in the industry
- 1.6 years at the current firm
- 1 prior registered firm; median stay 2.6 years
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 48 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 64 in the office left in the last 180 days
- 3 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
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- someExternal business breadthOutside business spans 1 category: operating company.
- D•••• D•••••• A•••Operating companyOwner · since 2019-01-01
D•••••• drawings printed on t-shirts for purchase (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 6, 2025 · The Woodlands, Tx
- W•••• F•••• A••••••• wirehouseJul 13, 2022 to Jan 8, 2025 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 8, 2025, registered Feb 6, 2025 (29 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 8, 2025 · Advisor changed firm · fact
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.
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