DFX Intelligence

F••••• T••• W••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

F••••• T••• W••••• A•••••••• L••

CRD 157777

MT JULIET, TN

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Data as of Nov 18, 2011 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 18, 2011 to Nov 18, 2011
1 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 1
Accounts: 0
SEC number: 801-72567
CRD: 157777

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• F•••••••• D••••	n/a	MT JULIET, TN	0	25	2	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• S••••• F••••••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	06/2011	Nov 18, 2011	Nov 18, 2011

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Relationships

Registered with (1)

← S•••• F•••••••• D••••Advisorregistration: previous registration
Aug 8, 2011 to Dec 31, 2011factForm ADV

Controls (1)

← D••••• S••••• F••••••••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 18, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 18, 2011
Last observed: Nov 18, 2011 180 months ago
Source families: Federal regulator filings
3 registered feeds 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.