DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

W•••••• M••• Y•••

C••••• I••••••••• A••••••• L••BD affiliatedFranklin, Tndual registrantIAPD 1192907

Feed of 09/14/2026

Also filed as M••• W•••••• Y•••

At current firm

3 y

since Jun 29, 2023

In the industry

31 y

since Dec 2, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Franklin, Tn
S••••• F•••••••• G•••• I•• former
May 28, 2014 to May 20, 2021 · Brentwood, Tn
S•••••• W••••• P•••••••• L•• BD affiliated
Aug 31, 2012 to May 29, 2014 · Brentwood, Tn
L•• F•••••••• L•• BD affiliated
Jun 4, 2008 to Jun 14, 2013 · Spring Hill, Tn
U•• F•••••••• S••••••• I••• wirehouse
May 24, 2006 to Jun 13, 2008 · Franklin, Tn
M••••• K••••• • C••••••• L•• former
Jan 28, 2004 to May 11, 2006 · Nashville, Tn

Moves

a registration end followed by a registration begin elsewhere

S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••
left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
S•••••• W••••• P•••••••• L•• to S••••• F•••••••• G•••• I••
left May 29, 2014, registered May 28, 2014 (-1 days) · Other
L•• F•••••••• L•• to S•••••• W••••• P•••••••• L••
left Jun 14, 2013, registered Aug 31, 2012 (-287 days) · Other
U•• F•••••••• S••••••• I••• to L•• F•••••••• L••
left Jun 13, 2008, registered Jun 4, 2008 (-9 days) · Other
M••••• K••••• • C••••••• L•• to U•• F•••••••• S••••••• I•••
left May 11, 2006, registered May 24, 2006 (13 days) · Other

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address