DFX Intelligence
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T••••• J•••••••• S•••••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Fredericksburg, VaIAPD 7605403
As of · the IAPD feed; also filed as T•• S••••••••• S••••••••• J•••••••• S••••••••• J•••••••• S••••••••• S•••••••
- At current firm
- 3 y
- In the industry
- 10 y
- Prior registered firms
- 1
- Signals
- 1
since May 26, 2023
As of · the IAPD feed; also filed as T•• S••••••••• S••••••••• J•••••••• S••••••••• J•••••••• S••••••••• S•••••••
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
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.
- 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 Elevated band.
- Recent change activitysomeDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 0.4 years.
Career
- 3.8 years in the industry
- 3.3 years at the current firm
- 1 prior registered firm; median stay 0.4 years
- Path: national broker-dealer RIA to wirehouse
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 16 states (firm median 2); added TX in the last 180 days
- 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 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 1
- Board, trustee or officer seat at 1
- 1 also disclosed by other registered advisors
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- notableExternal business breadthOutside business spans 2 categories: consulting, operating company.
- someCommunity and board roles1 board, trustee or officer role in outside organisations.
- Chair · since 2024-11-05
G••••••••• University alumni club run by alumni volunteers (the advisor's own disclosure)
Holds a management or partner role in a nonprofit.
self-disclosed on Form U4 - J••• K••••• L••Operating companyOwner, Contractor · since 2024-04-29
J••• hauling and removal; run by the advisor's wife (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice.
self-disclosed on Form U4 - Contractor · since 2020-01-01
Financial services consulting company (the advisor's own disclosure)
Involved with a consulting business; raised $211,505,646 under Reg D.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 26, 2023 · Fredericksburg, Va
- E••••• J•••• national BDNov 23, 2022 to Mar 15, 2023 · Triangle, Va
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 15, 2023, registered May 26, 2023 (72 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedMar 15, 2023 · 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