DFX Intelligence
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C•••••• D••• M••••
Registered advisorat R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dual registrant· Bethel, CtIAPD 859701
As of · the IAPD feed
- At current firm
- 17 y
- In the industry
- 44 y
- Prior registered firms
- 0
- Signals
- 0
since Jan 2, 2009
As of · the IAPD feed
State registrations
1
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 attractivenesssome44.9 years in the industry
- 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 activitysomeDetails 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 mobilitysome3 prior firms, median stay 8.9 years. Patterns that went with staying: thirty or more years in the industry; fifteen or more years at the current firm.
Career
- 44.9 years in the industry
- 17.7 years at the current firm
- 3 prior registered firms; median stay 8.9 years
- retention indicatorthirty or more years in the industryAt broker-dealer affiliated firms, 3.1% with this moved within a year, against 5.8% without it (0.53x, 2023 to 2025 cohorts).
- retention indicatorfifteen or more years at the current firmAt broker-dealer affiliated firms, 2.6% with this moved within a year, against 5.8% without it (0.45x, 2023 to 2025 cohorts).
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 33 states (firm median 2)
- Exams: SIE, Series 10, Series 12, Series 24, Series 31, Series 5, Series 63, Series 7, Series 8, Series 9
- Supervisory exams: Series 10, Series 24, Series 9
- 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
- Board, trustee or officer seat at 1
- 2 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).
- someReal estate activity1 real-estate entity disclosed.
- 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: real estate.
- someCommunity and board roles1 board, trustee or officer role in outside organisations.
- M•••• G•••• L••Real estatePartner · since 2012-02-01
LLC formed to buy their business condo; receives rent from N••••• Investment Corp (the advisor's own disclosure)
Holds a management or partner role in a real-estate entity; 1 colleague at the same firm discloses the same entity.
self-disclosed on Form U4 - N••••• I••••••••• G••••• I••Practice brandOwner, Officer, President · since 1999-03-17
Support company through which bills and taxes are paid (the advisor's own disclosure)
The advisor's own practice brand, not a separate business; 1 colleague at the same firm discloses the same entity.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 2, 2009 · Bethel, Ct
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom 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