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D••••• S•••• E••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

D••••• S•••• E••••••

Advisor at P••••••• F•••••••• S•••••••• I•••

Knoxville, TN

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Search this name across graphsid dfx:ria:530c49ef-cbae-25a3-1c65-937e576de21c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 8, 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: P••••••• F•••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 8, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••• F•••••••• S•••••••• I•••	Bd affiliated wealth	Nov 13, 2023	n/a	yes	Knoxville, TN	Current employment
B• R•••• W••••• A•••••••• I•••	Bd affiliated wealth	Jul 27, 2022	Nov 13, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B• R•••• W••••• A•••••••• I•••	P••••••• F•••••••• S•••••••• I•••	Nov 13, 2023	Nov 13, 2023	0	Firm change	Ibd to ibd
B• R•••• W••••• M•••••••••	B• R•••• W••••• A•••••••• I•••	Dec 31, 2022

Relationships

Registered with (6)

→ P••••••• F•••••••• S•••••••• I•••Registered adviserregistration: current employment
Nov 13, 2023 to presentfactForm ADV
→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 27, 2022 to Nov 13, 2023factForm ADV
→ B• R•••• W••••• M•••••••••Registered adviserregistration: previous registration
Oct 7, 2013 to Dec 31, 2022factForm ADV
→ S••••• A••• A•••• M••••••••• I•••

Dated events

Occurred
Nov 13, 2023
Advisor changed firm
D••••• S•••• E•••••• left B• R•••• W••••• A•••••••• I••• for P••••••• F•••••••• S•••••••• I••• (registered 2023-11-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:530c49ef-cbae-25a3-1c65-937e576de21c
First observed: Apr 8, 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.