DFX Intelligence
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E••• M•••••• C•••••••
Chartered Financial Analyst
As of · the IAPD feed
- At current firm
- 2 y
- In the industry
- 12 y
- Prior registered firms
- 0
- Signals
- 0
since Jun 3, 2024
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
- ••• Locked
Recruiting value
- Practice attractivenesssomedesignations Chartered Financial Analyst
- 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 profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- ContactabilityweakPublished: no published contact point.
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
- 4.1 years in the industry
- 2.3 years at the current firm
- 0 prior registered firms
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 15 states (firm median 2)
- Exams: SIE, Series 63, Series 7TO
- Designations: Chartered Financial Analyst
- 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 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
- 4 disclosed outside organisations
- Owner, founder or manager of 3
- Board, trustee or officer seat at 3
- 1 also disclosed by other registered advisors
- 1 started or first disclosed in the last 12 months
Why it may matter
- someExternal business breadthOutside business spans 1 category: unclear.
- notableCommunity and board roles3 board, trustee or officer roles in outside organisations.
- someRecent external activity1 outside activity with a start date in the last 12 months.
- Director, Volunteer, Member · since 2026-10-01
School supporting education and special needs students (the advisor's own disclosure)
Holds a management or partner role in a nonprofit; started within the last 12 months.
self-disclosed on Form U4 - R•••• I••••• P•• F•••••••••NonprofitDirector, Member · since 2021-08-01
Raises funds and provides support services to R•••• I••••• PBS (the advisor's own disclosure)
Holds a management or partner role in a nonprofit.
self-disclosed on Form U4 - Member · since 2016-06-01
Education (the advisor's own disclosure)
Holds a management or partner role in a nonprofit.
self-disclosed on Form U4 - M•••••• J• S•••••• a•• M•••••• L• S•••••• I••••••••• T••••Type not statedTrustee · since 2019-08-20
Family Trust, dormant (the advisor's own disclosure)
Sits on the board or serves as an officer of an outside organisation.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jun 3, 2024 · Boston, Ma
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
- 12derivedfrom 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