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D•••• D•••• G••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

D•••• D•••• G••••••••

Advisor at U•• F•••••••• S••••••• I•••

KNOXVILLE, TN

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Search this name across graphsid dfx:ria:e046bdef-773f-38ae-1904-5aa42a328c45

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jan 9, 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 21, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Jan 12, 2026	n/a	yes	KNOXVILLE, TN	Current employment
M••••• S••••••	Wirehouse	Dec 8, 2015	Jan 2, 2026	no	Louisville, KY\|KNOXVILLE, TN\|Knoxville, TN

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	U•• F•••••••• S••••••• I•••	Jan 2, 2026	Jan 12, 2026	10	Firm change	Wirehouse to wirehouse
W•••• F•••• A•••••••	M••••• S••••••	Nov 30, 2015

Relationships

Registered with (3)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Jan 12, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Dec 8, 2015 to Jan 2, 2026factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 9, 2004 to Nov 30, 2015factForm ADV

Dated events

Occurred
Jan 2, 2026
Advisor changed firm
D•••• D•••• G•••••••• left M••••• S•••••• for U•• F•••••••• S••••••• I••• (registered 2026-01-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e046bdef-773f-38ae-1904-5aa42a328c45
First observed: Jan 9, 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.