DFX Intelligence

W••••• J••••••• R••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

W••••• J••••••• R••••••

Advisor at T••••• A••••••• S•••••••• I•••

JOHNSON CITY, TN

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Search this name across graphsid dfx:ria:c42c5a75-33c4-c307-f0c6-d750381890e8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2003 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: T••••• A••••••• S•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom 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
T••••• A••••••• S•••••••• I•••	Bd affiliated wealth	Aug 30, 2016	n/a	yes	JOHNSON CITY, TN	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Mar 25, 2011	Nov 10, 2014	no	Knoxville, TN\|Knoxville, TN\|ROGERSVILLE, TN\|Rogersville, TN\|Church Hill, TN\|MARYVILLE, TN\|Maryville, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	T••••• A••••••• S•••••••• I•••	Nov 10, 2014	Aug 30, 2016	659	Firm change after gap	Other
L•• F•••••••• L••	U••• B•••••• I••••••••• I•••	Sep 15, 2011	Mar 25, 2011

Relationships

Registered with (5)

→ T••••• A••••••• S•••••••• I•••Registered adviserregistration: current employment
Aug 30, 2016 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Mar 25, 2011 to Nov 10, 2014factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 7, 2008 to Sep 15, 2011factForm ADV
→ U•••• F•••••••• S••••••• G••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c42c5a75-33c4-c307-f0c6-d750381890e8
First observed: Mar 12, 2003
Last observed: Sep 14, 2026 9 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.