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

D•••• A•••• R•••••

U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••independent RIAScottsdale, Az dual registrantIAPD 1916734

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

At current firm

0 y

since Aug 27, 2026

In the industry

36 y

since Aug 1, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA current
since Aug 27, 2026 · Scottsdale, Az
S•• I••••••••• A•••••••• I••• former
Jun 14, 2017 to Jun 4, 2024 · Mt. Juliet, Tn
S•• BD affiliated
Sep 28, 2012 to Jun 15, 2017 · Mount Juliet, Tn
T•••••••• F•••••••• S•••••••• L•• former
Jan 6, 2009 to Sep 21, 2012 · Brentwood, Tn
F•••••••• P••••••• C••••••••• unclassified
Nov 29, 2001 to Dec 31, 2008 · North Palm Beach, Fl

Moves

a registration end followed by a registration begin elsewhere

S•• I••••••••• A•••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
left Jun 4, 2024, registered Aug 27, 2026 (814 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
S•• to S•• I••••••••• A•••••••• I•••
left Jun 15, 2017, registered Jun 14, 2017 (-1 days) · Other
T•••••••• F•••••••• S•••••••• L•• to S••
left Sep 21, 2012, registered Sep 28, 2012 (7 days) · Other
F•••••••• P••••••• C••••••••• to T•••••••• F•••••••• S•••••••• L••
left Dec 31, 2008, registered Jan 6, 2009 (6 days) · Other

Signals

D•••• A•••• R••••• left S•• I••••••••• A•••••••• I••• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2026-08-27)
Jun 4, 2024 · 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: Independent wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address