DFX Intelligence
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Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· High Point, Nc IAPD 8140622
As of · the IAPD feed
- In the industry
- 10 y
- Prior registered firms
- 0
- Signals
- 0
As of · the IAPD feed
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
- ••• Locked
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 profilenotableDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilitystrongverified business email (hunter)
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Highly elevated band. Early-career bands mostly reflect trainee churn.
- Recent change activitynotableDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone0 prior firms.
Career
- 0.9 years in the industry
- 0.9 years at the current firm
- 0 prior registered firms
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 8 states (firm median 2)
- 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
- 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
- 2 disclosed outside organisations
- Owner, founder or manager of 2
- 1 also disclosed by other registered advisors
- 1 started or first disclosed in the last 12 months
Why it may matter
- notableEntrepreneurial activityOwns, founded or manages 2 business entities outside the advisory practice (self-disclosed on Form U4).
- someBusiness network connectivityThrough these entities DFX sees 0 other people named in public records and 1 other registered advisors who disclose the same entities. These are observed business connections, not clients.
- someExternal business breadthOutside business spans 1 category: operating company.
- someRecent external activity1 outside activity with a start date in the last 12 months.
- Owner, Partner · since 2026-08-15
Planned LLC to buy, sell and trade collectible trading cards at public card shows (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice; started within the last 12 months; 1 colleague at the same firm discloses the same entity.
self-disclosed on Form U4 - D•••••••••Operating companyOwner, Other role · since Mar 2024
Small YouTube channel about Magic The Gathering; no profit (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 3, 2025 · High Point, Nc
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
- 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