DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

W•••••• W••••••• D••••••

Advisor at R•••••• J•••• • A••••••••• I•••

MEMPHIS, TN

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Search this name across graphsid dfx:ria:fd36e3ae-1ed8-5847-f80f-2ebe5d471ef9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 6, 1996 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 9, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Feb 13, 2013	n/a	yes	MEMPHIS, TN	Current employment
M••••• K••••• • C••••••• L••	Former SEC adviser	May 6, 1996	Feb 13, 2013	no	MEMPHIS, TN\|MEMPHIS, TN\|MEMPHIS, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• K••••• • C••••••• L••	R•••••• J•••• • A••••••••• I•••	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other

Relationships

Registered with (2)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Feb 13, 2013 to presentfactForm ADV
→ M••••• K••••• • C••••••• L••Registered adviserregistration: previous registration
May 6, 1996 to Feb 13, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd36e3ae-1ed8-5847-f80f-2ebe5d471ef9
First observed: May 6, 1996
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.