DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

P•••••• R••••• R•••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

MEMPHIS, TN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 26, 2010 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 20, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Oct 30, 2017	n/a	yes	MEMPHIS, TN	Current employment
B• R•••• W••••• M•••••••••	Former SEC adviser	Apr 17, 2015	Nov 10, 2017	no	Memphis, TN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B• R•••• W••••• M•••••••••	S•••••• N••••••• • C••••••• I•••••••••	Nov 10, 2017	Oct 30, 2017	-11	Firm change	Other
D••••••••• I•••	B• R•••• W••••• M•••••••••	Apr 21, 2015	Apr 17, 2015

Relationships

Registered with (3)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Oct 30, 2017 to presentfactForm ADV
→ B• R•••• W••••• M•••••••••Registered adviserregistration: previous registration
Apr 17, 2015 to Nov 10, 2017factForm ADV
→ D••••••••• I•••Registered adviserregistration: previous registration
Jan 26, 2010 to Apr 21, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 26, 2010
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.