DFX Intelligence

R••• B•••• T••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)18 years in industry

R••• B•••• T••••

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

Lenoir City, TN | Knoxville, TN

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:57ba510c-532c-d090-94f5-2fb99a104df5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 21, 2011 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: Jan 11, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Oct 24, 2018	n/a	yes	Knoxville, TN\|Lenoir City, TN	Current employment
S•••••• F•••• I••••••••• G••••• I•••	Former SEC adviser	Dec 1, 2015	Oct 22, 2018	no	KNOXVILLE, TN\|Goodlettsville, TN\|MARYVILLE, TN\|LITTLE ROCK, AR\|LITTLE ROCK, AR\|Athens, TN\|Goodlettsville, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••• F•••• I••••••••• G••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Oct 22, 2018	Oct 24, 2018	2	Firm change	RIA to ibd
L•• F•••••••• L••	S•••••• F•••• I••••••••• G••••• I•••	Dec 9, 2015	Dec 1, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:47439:TN:2015-12-09	Dec 9, 2015	Dec 1, 2015	MARYVILLE, TN	Firm change

Relationships

Registered with (4)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Oct 24, 2018 to presentfactForm ADV
→ S•••••• F•••• I••••••••• G••••• I•••Registered adviserregistration: previous registration
Dec 1, 2015 to Oct 22, 2018factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Feb 11, 2013 to Dec 9, 2015factForm ADV
→ M•• I•••••••• S•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57ba510c-532c-d090-94f5-2fb99a104df5
First observed: Jan 21, 2011
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.