DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

C••••••••• E• G•••••

Advisor at S•••••••• A••••••• L••

JOHNSON CITY, TN | PINEY FLATS, TN

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Search this name across graphsid dfx:ria:f64fdf3e-9337-f98f-1b4d-6499d5607676

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 29, 2022 to Sep 15, 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••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	PINEY FLATS, TN\|JOHNSON CITY, TN	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jul 9, 2024	Mar 31, 2025	no	JOHNSON CITY, TN\|JOHNSON CITY, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
W••••••••• W••••• C••••••	F••••••• P••••••• A•• W•••••••• A•••••••	Mar 11, 2024	Jul 9, 2024

Relationships

Registered with (3)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 9, 2024 to Mar 31, 2025factForm ADV
→ W••••••••• W••••• C••••••Registered adviserregistration: previous registration
Nov 29, 2022 to Mar 11, 2024factForm ADV

Dated events

Occurred
Mar 11, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f64fdf3e-9337-f98f-1b4d-6499d5607676
First observed: Nov 29, 2022
Last observed: Sep 15, 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.