DFX Intelligence

C•••••• F••••••• G•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

C•••••• F••••••• G•••

Advisor at S••••• O•• S••••••••• I•••

Memphis, TN

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Search this name across graphsid dfx:ria:3e94af28-7601-9e87-b505-d50f2766dad3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 26, 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: S••••• O•• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 18, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• O•• S••••••••• I•••	Bd affiliated wealth	Mar 3, 2008	n/a	yes	Memphis, TN	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Oct 31, 2005	Nov 20, 2007	no	PHOENIX, AZ\|MEMPHIS, TN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	S••••• O•• S••••••••• I•••	Nov 20, 2007	Mar 3, 2008	104	Firm change	Other
S••••••••• S••••••••• I•••	S•••••••• F••••••••• I•••	Oct 31, 2005	Oct 31, 2005

Relationships

Registered with (3)

→ S••••• O•• S••••••••• I•••Registered adviserregistration: current employment
Mar 3, 2008 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Oct 31, 2005 to Nov 20, 2007factForm ADV
→ S••••••••• S••••••••• I•••Registered adviserregistration: previous registration
Mar 26, 2004 to Oct 31, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e94af28-7601-9e87-b505-d50f2766dad3
First observed: Mar 26, 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.