DFX Intelligence

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

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

R•••• S••••• M•••••••••

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

Loudon, TN

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Search this name across graphsid dfx:ria:8e7b7477-714c-db38-10b5-77f0587e71f6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 4, 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 public••• Locked
Industry start: Oct 22, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••• F•••••••• S•••••••• I•••	Bd affiliated wealth	Sep 19, 2016	n/a	yes	Loudon, TN	Current employment
C•••••• G••••••• W••••• M••••••••• L••	Former SEC adviser	Mar 27, 2009	Sep 23, 2016	no	LOUDON, TN\|MIAMI, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• G••••••• W••••• M••••••••• L••	P••••••• F•••••••• S•••••••• I•••	Sep 23, 2016	Sep 19, 2016	-4	Firm change	Other
S•••••••• F••••••••• I•••	C•••••• G••••••• W••••• M••••••••• L••	Mar 31, 2009	Mar 27, 2009

Relationships

Registered with (5)

→ P••••••• F•••••••• S•••••••• I•••Registered adviserregistration: current employment
Sep 19, 2016 to presentfactForm ADV
→ C•••••• G••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 27, 2009 to Sep 23, 2016factForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Nov 9, 2006 to Mar 31, 2009factForm ADV
→ I•••••••• C•••••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e7b7477-714c-db38-10b5-77f0587e71f6
First observed: Feb 4, 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.