DFX Intelligence
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N••••••• K••••
As of · the IAPD feed; also filed as N••••••• J••••• K••••••••• K••••
- At current firm
- 1 y
- In the industry
- 10 y
- Prior registered firms
- 1
- Signals
- 1
since Mar 31, 2025
As of · the IAPD feed; also filed as N••••••• J••••• K••••••••• K••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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 profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalsome1 of 1 dated or circumstantial reading historically went with moving: owner of a different adviser first filed in the prior year, not yet registered there. The forward-tested move model places this advisor in its Exceptional band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationstrongOwner of a newly filed adviser where this advisor is not yet registered (Form ADV Schedule A).
- Historical mobilitynone1 prior firm, median stay 0.9 years.
Dated changes and circumstances, and what they have meant historically
- move indicatorOwner of a different adviser first filed in the prior year, not yet registered thereAcross all advisors, 21.2% with this moved within a year, against 4.9% without it (4.32x, 2023 to 2025 cohorts).
Career
- 3.3 years in the industry
- 1.5 years at the current firm
- 1 prior registered firm; median stay 0.9 years
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
- Registered in 2 states (firm median 2)
- 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
- No recent movement observed around this advisor.
Regulatory record
Shown to subscribers, with the official record linked.
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• brokerage advisory currentsince Mar 31, 2025 · Morristown, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• brokerage advisoryMay 17, 2024 to Mar 31, 2025 · Morristown, Nj
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 14, 2026 · Owner of a newly registered adviser · 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
- Brokerage advisory programderived
- 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