DFX Intelligence

R••• S•••• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor25 years in industry

R••• S•••• M••••••

Advisor at C••••••• P•••••••

••• Locked

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:349c4d49-fe73-c4c2-fc77-9d98538d9e1e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Jan 8, 2004 to Sep 15, 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: C••••••• P•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 24, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• P•••••••	Independent wealth	Jan 26, 2026	n/a	yes	OVERLAND PARK, KS\|Knoxville, TN\|Maryville, TN	Current employment
C••••••• P••••••• I••••••••• A•••••••• L••	I•••••••••_MANAGER	Aug 24, 2018	n/a	yes	NEWPORT BEACH, CA\|Maryville, TN\|KNOXVILLE, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	C••••••• P•••••••	Jan 22, 2026	Jan 26, 2026	4	Firm change	Ibd to RIA
C••••• A•••••• N••••••• L••	S••••••• P•••••• C••••• G••••• L••	Jun 30, 2023	Dec 4, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
105644:105348:TN:2026-01-21	Jan 22, 2026	Jan 26, 2026	KNOXVILLE, TN	Firm change
13572:134997:TN:2023-06-29	Jun 30, 2023	Dec 4, 2009	KNOXVILLE, TN	Firm change after gap

Relationships

Registered with (6)

→ C••••••• P•••••••Registered adviserregistration: current employment
Jan 26, 2026 to presentfactForm ADV
→ C••••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 25, 2008 to Jul 12, 2017factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jun 29, 2023 to Jan 22, 2026factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

Occurred
Jan 22, 2026
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 30, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:349c4d49-fe73-c4c2-fc77-9d98538d9e1e
First observed: Jan 8, 2004
Last observed: Sep 15, 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.