DFX Intelligence
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N••••••• T• M•••••
Certified Financial Planner
As of · the IAPD feed; also filed as N••••••• T• M••••••••• M••••••••• M•••••
- At current firm
- 1 y
- In the industry
- 11 y
- Prior registered firms
- 2
- Signals
- 2
since Feb 21, 2025
As of · the IAPD feed; also filed as N••••••• T• M••••••••• M••••••••• M•••••
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 attractivenesssomedesignations Certified Financial Planner
- 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 profilestrongDetails are shown to subscribers.
- Real estate activitynoneDetails 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 Elevated band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 1.4 years.
Career
- 4.2 years in the industry
- 1.6 years at the current firm
- 2 prior registered firms; median stay 1.4 years
- Path: wirehouse to national broker-dealer RIA to wirehouse
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 51 states (firm median 2)
- Exams: SIE, Series 66, Series 7TO
- Designations: Certified Financial Planner
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 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
- 3 disclosed outside organisations
- Owner, founder or manager of 3
Why it may matter
- strongEntrepreneurial activityOwns, founded or manages 3 business entities outside the advisory practice (self-disclosed on Form U4).
- someExternal business breadthOutside business spans 1 category: agriculture.
- F••••• R•••• L••AgricultureManaging member · since Dec 2023
Agriculture (the advisor's own disclosure)
Owns or founded a farm or agricultural business outside the advisory practice.
self-disclosed on Form U4 - S•••••••• R•••• L••AgricultureManaging member · since Dec 2023
Agriculture; leased to tenants (the advisor's own disclosure)
Owns or founded a farm or agricultural business outside the advisory practice.
self-disclosed on Form U4 - C•••••• B••••••• L••AgriculturePartner · since 2019
Leases out almond orchard ground and manages the orchard (the advisor's own disclosure)
Holds a management or partner role in a farm or agricultural business.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Feb 21, 2025 · Chico, Ca
- E••••• J•••• national BDOct 31, 2022 to Feb 24, 2025 · Chico, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 12, 2022 to Nov 1, 2022 · Oroville, Ca
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to M••••• S••••••left Feb 24, 2025, registered Feb 21, 2025 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Nov 1, 2022, registered Oct 31, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedFeb 24, 2025 · Advisor changed firm · fact
- ••• LockedNov 1, 2022 · 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
- 11derivedfrom 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