DFX Intelligence

L••••••• J•••••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorPersonal Financial Specialist22 years in industry

L••••••• J•••••• S••••

Advisor at M••••••

NASHVILLE, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0538b7fb-be96-fc07-28fa-496b7fd865b0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 12, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: M••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 30, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••••	Bd affiliated wealth	Oct 31, 2019	n/a	yes	NASHVILLE, TN	Current employment
S••• C•••• W••••• M•••••••••	Former SEC adviser	Mar 10, 2011	Nov 18, 2019	no	NASHVILLE, TN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••• C•••• W••••• M•••••••••	M••••••	Nov 18, 2019	Oct 31, 2019	-18	Firm change	RIA to ibd
R•••••• J•••• F•••••••• S•••••••• I•••	S••• C•••• W••••• M•••••••••	Apr 12, 2007	Mar 10, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
142983:140195:TN:2019-11-18	Nov 18, 2019	Oct 31, 2019	NASHVILLE, TN	Firm change

Relationships

Registered with (3)

→ M••••••Registered adviserregistration: current employment
Oct 31, 2019 to presentfactForm ADV
→ S••• C•••• W••••• M•••••••••Registered adviserregistration: previous registration
Mar 10, 2011 to Nov 18, 2019factForm ADV
→ R•••••• J•••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 12, 2006 to Apr 12, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0538b7fb-be96-fc07-28fa-496b7fd865b0
First observed: Sep 12, 2006
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.