DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

M•••••• A••• M••••••

Advisor at C••• S••••• P•••••••

JOHNSON CITY, TN

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Search this name across graphsid dfx:ria:3e29f47d-533f-111d-51f3-1cd499c9f3f7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 18, 2004 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: C••• S••••• P•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 29, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• S••••• P•••••••	Bd affiliated wealth	Jun 17, 2011	n/a	yes	JOHNSON CITY, TN	Current employment
F•••• T•••••••• A••••••• S•••••••• I•••	Former SEC adviser	Sep 3, 2008	Jun 2, 2011	no	MEMPHIS, TN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• T•••••••• A••••••• S•••••••• I•••	C••• S••••• P•••••••	Jun 2, 2011	Jun 17, 2011	15	Firm change	Other
F•••• H•••••• A•••••••• I••	F•••• T•••••••• A••••••• S•••••••• I•••	Jun 2, 2011	Sep 3, 2008

Relationships

Registered with (3)

→ C••• S••••• P•••••••Registered adviserregistration: current employment
Jun 17, 2011 to presentfactForm ADV
→ F•••• T•••••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 3, 2008 to Jun 2, 2011factForm ADV
→ F•••• H•••••• A•••••••• I••Registered adviserregistration: previous registration
Mar 18, 2004 to Jun 2, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e29f47d-533f-111d-51f3-1cd499c9f3f7
First observed: Mar 18, 2004
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.