DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)34 years in industry

C•••• S•••• M•••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Collierville, TN | Germantown, TN

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Search this name across graphsid dfx:ria:3f0b4420-cf3d-1a70-a865-98635d71256a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 25, 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•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 9, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom 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
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Oct 1, 2007	n/a	yes	Collierville, TN\|Germantown, TN	Current employment
A••••••• A••••••• S•••••••	Former SEC adviser	Jun 30, 2006	Oct 11, 2007	no	MEMPHIS, TN\|MEMPHIS, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• A••••••• S•••••••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Oct 11, 2007	Oct 1, 2007	-10	Firm change	Other
C••••••• I••••••••• I•••	A••••••• A••••••• S•••••••	Jun 30, 2006	Jun 30, 2006

Relationships

Registered with (3)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Oct 1, 2007 to presentfactForm ADV
→ A••••••• A••••••• S•••••••Registered adviserregistration: previous registration
Jun 30, 2006 to Oct 11, 2007factForm ADV
→ C••••••• I••••••••• I•••Registered adviserregistration: previous registration
Mar 25, 2004 to Jun 30, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3f0b4420-cf3d-1a70-a865-98635d71256a
First observed: Mar 25, 2004
Last observed: Sep 15, 2026 7 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.