DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)43 years in industrynot currently registered

W•••••• S•••• P••••••••

Advisor at C••••••••• F•••••••• N••••••

OAK RIDGE, TN

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Search this name across graphsid dfx:ria:deeb6b1d-88c4-20b1-14cc-646e62066d47

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 27, 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 27, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	May 27, 2011	n/a	yes	OAK RIDGE, TN	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jan 27, 2004	Jun 8, 2011	no	Knoxville, TN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	C••••••••• F•••••••• N••••••	Jun 8, 2011	May 27, 2011	-12	Firm change	Wirehouse to ibd

Relationships

Registered with (2)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
May 27, 2011 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jan 27, 2004 to Jun 8, 2011factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

First seen by DFX
Sep 21, 2026
date not stated
W•••••• S•••• P•••••••• no longer holds an investment adviser registration (last listed at C••••••••• F•••••••• N•••••• on the 2026-09-19 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:deeb6b1d-88c4-20b1-14cc-646e62066d47
First observed: Jan 27, 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.