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

K•••• J•••• L••••••

A•••• W••••• A•••••••• L••BD affiliatedKnoxville, Tndual registrantIAPD 1744123

Feed of 09/14/2026

At current firm

3 y

since Mar 31, 2023

In the industry

34 y

since Feb 4, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A•••• W••••• A•••••••• L•• BD affiliated current
since Mar 31, 2023 · Knoxville, Tn
C••••• S••••• A•••••••• I••• former
Jun 2, 2017 to Jun 22, 2023 · Knoxville, Tn
S••••••••• A•••••• A•••••••• I••• former
Mar 20, 2017 to Jun 5, 2017 · Knoxville, Tn
U••••••••• W••••• M••••••••• L•• independent RIA
Nov 6, 2014 to Mar 21, 2017 · Knoxville, Tn
U••••••••• W••••• M••••••••• L•• independent RIA
Jan 24, 2012 to Dec 5, 2012 · Knoxville, Tn
S••••••••• A•••••• A•••••••• I••• former
Aug 1, 2011 to Nov 10, 2014 · Knoxville, Tn
L••••• T•• A•• F•••••••• P•••••••• L•• unclassified
Jul 23, 2009 to Nov 16, 2011 · Knoxville, Tn
W••••••• F•••••••• S•••••••• I••• former
Jan 7, 2009 to Aug 26, 2011 · Knoxville, Tn
S••••••• F•••••••• S•••••••• I••• former
Nov 24, 2004 to Jan 5, 2009 · Knoxville, Tn
S••••••• I••••••••• I••• former
Aug 30, 2002 to Nov 16, 2004 · Knoxville, Tn

Moves

a registration end followed by a registration begin elsewhere

C••••• S••••• A•••••••• I••• to A•••• W••••• A•••••••• L••
left Jun 22, 2023, registered Mar 31, 2023 (-83 days) · RIA to affiliated broker-dealer or bank · moved with a team
S••••••••• A•••••• A•••••••• I••• to C••••• S••••• A•••••••• I•••
left Jun 5, 2017, registered Jun 2, 2017 (-3 days) · Other · moved with a team
U••••••••• W••••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Mar 21, 2017, registered Mar 20, 2017 (-1 days) · Other · moved with a team
S••••••••• A•••••• A•••••••• I••• to U••••••••• W••••• M••••••••• L••
left Nov 10, 2014, registered Jan 24, 2012 (-1021 days) · Other
L••••• T•• A•• F•••••••• P•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Nov 16, 2011, registered Aug 1, 2011 (-107 days) · Other
W••••••• F•••••••• S•••••••• I••• to L••••• T•• A•• F•••••••• P•••••••• L••
left Aug 26, 2011, registered Jul 23, 2009 (-764 days) · Other
S••••••• F•••••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Jan 5, 2009, registered Jan 7, 2009 (2 days) · Other
S••••••• I••••••••• I••• to S••••••• F•••••••• S•••••••• I•••
left Nov 16, 2004, registered Nov 24, 2004 (8 days) · Other

Signals

K•••• J•••• L•••••• left C••••• S••••• A•••••••• I••• for A•••• W••••• A•••••••• L•• (registered 2023-03-31)
Jun 22, 2023 · Advisor changed firm · fact

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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address