DFX Intelligence
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J••••• P•••••••
As of · the IAPD feed; also filed as J••••• P••••••
- At current firm
- 1 y
- In the industry
- 20 y
- Prior registered firms
- 1
- Signals
- 0
since Nov 14, 2024
As of · the IAPD feed; also filed as J••••• P••••••
State registrations
1
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 profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- ContactabilityweakPublished: no published contact point.
Movement evidence
- Movement signalnotable2 of 2 dated or circumstantial readings historically went with moving: two or more known colleagues moved in the prior 180 days; a known colleague moved to an independent RIA in the prior 180 days. The forward-tested move model places this advisor in its Highly elevated band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 1.1 years.
Dated changes and circumstances, and what they have meant historically
- move indicatorTwo or more known colleagues moved in the prior 180 daysAt broker-dealer affiliated firms, 6.9% with this moved within a year, against 5.5% without it (1.26x, 2023 to 2025 cohorts).
- move indicatorA known colleague moved to an independent RIA in the prior 180 daysAt broker-dealer affiliated firms, 6.6% with this moved within a year, against 5.5% without it (1.21x, 2023 to 2025 cohorts).
Career
- 3 years in the industry
- 1.9 years at the current firm
- 2 prior registered firms; median stay 1.1 years
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 9 states (firm median 1)
- 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
- 3 of about 20 in the office left in the last 180 days
- 4 known colleagues changed firms in the last year
- 1 went to an independent RIA in the last 180 days
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
- 1 also disclosed by other registered advisors
- P•••••••••InsuranceRole not stated · since 2024-11-18
Sales of proprietary and non-proprietary fixed life insurance (the advisor's own disclosure)
An insurance appointment or agency relationship, the most common outside activity among advisors; 2 colleagues at the same firm disclose the same entity.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Wauwatosa, Wi
- P•••• S••••••••• L•• no RAUMOct 25, 2023 to Nov 14, 2024 · Wauwatosa, Wi
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom 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