DFX Intelligence

T••••• L•• C•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

T••••• L•• C•••••••••

Advisor at S•••••••• A••••••• S•••••••

MEMPHIS, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e69ade9c-518d-28ce-dad3-f052a689cfeb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 31, 2007 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•••••••• A••••••• S•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 15, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• S•••••••	Independent wealth	Apr 27, 2017	n/a	yes	MEMPHIS, TN	Current employment
D••••••••• I•••	Former SEC adviser	Aug 5, 2010	Nov 16, 2012	no	MEMPHIS (SHELBY), TN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••••••• I•••	S•••••••• A••••••• S•••••••	Nov 16, 2012	Apr 27, 2017	1,623	Firm change after gap	Other
S••••• A••• A•••• M••••••••• I•••	D••••••••• I•••	Jul 14, 2010	Aug 5, 2010

Relationships

Registered with (4)

→ S•••••••• A••••••• S•••••••Registered adviserregistration: current employment
Apr 27, 2017 to presentfactForm ADV
→ D••••••••• I•••Registered adviserregistration: previous registration
Aug 5, 2010 to Nov 16, 2012factForm ADV
→ S••••• A••• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Jun 22, 2009 to Jul 14, 2010factForm ADV
→ M••••• K••••• • C••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e69ade9c-518d-28ce-dad3-f052a689cfeb
First observed: Jan 31, 2007
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.