DFX Intelligence

W••••• H•••••• L••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

W••••• H•••••• L••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Germantown, TN

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Search this name across graphsid dfx:ria:e481f451-26c4-1226-38a8-23c9dd7be758

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 23, 2008 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 22, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Aug 14, 2018	n/a	yes	Germantown, TN	Current employment
R••••• L••	Independent wealth	Feb 10, 2017	Jul 25, 2018	no	MEMPHIS, TN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••••••••• P•••••••• L••	A••••••••• F•••••••• S•••••••• L••	Jul 25, 2018	Aug 14, 2018	20	Firm change	RIA to ibd
R••••• L••	R••••••••• P•••••••• L••	Jul 25, 2018	Feb 10, 2017

Relationships

Registered with (5)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Aug 22, 2013 to Feb 9, 2017factForm ADV
→ R••••••••• P•••••••• L••Registered adviserregistration: previous registration
Feb 10, 2017 to Jul 25, 2018factForm ADV
→ R••••• L••Registered adviserregistration: previous registration
Feb 10, 2017 to Jul 25, 2018factForm ADV
→ R•••••• J•••• • A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e481f451-26c4-1226-38a8-23c9dd7be758
First observed: Sep 23, 2008
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.