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

T••• P••• R•••

M••••••BD affiliatedKnoxville, Tn IA-onlyIAPD 2255660

Certified Financial Planner

Feed of 09/14/2026

At current firm

3 y

since Oct 18, 2022

In the industry

34 y

since Aug 5, 1992 (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

M•••••• BD affiliated current
since Oct 18, 2022 · Knoxville, Tn
S••••••• P•••••• C••••• G••••• L•• former
Mar 24, 2016 to Jul 19, 2022 · Knoxville, Tn
S••••••• P•••••• C••••• G••••• L•• former
Aug 12, 2013 to Dec 31, 2015 · Newport Beach, Ca
C••••••• P••••••• I••••••••• A•••••••• L•• i••••••••• manager
Feb 22, 2013 to Jul 19, 2022 · Knoxville, Tn
C••••• A•••••• N••••••• L•• former
Jan 23, 2013 to Jul 21, 2022 · Knoxville, Tn
W••••••• F•••••••• S•••••••• I••• former
Sep 2, 2010 to Apr 12, 2011 · Knoxville, Tn
F•••• T•••••••• A••••••• S•••••••• I••• former
May 1, 2009 to Feb 25, 2010 · Memphis, Tn
F•••• H•••••• A•••••••• I•• former
Mar 12, 2009 to Feb 25, 2010 · Morristown, Tn
S••••••• I••••••••• S•••••••• I••• former
Jan 13, 2009 to Mar 3, 2009 · Knoxville, Tn
F•••• H•••••• A•••••••• I•• former
Mar 11, 2004 to Jul 7, 2008 · Knoxville, Tn

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••••• N••••••• L•• to C••••••• P••••••• I••••••••• A•••••••• L••
left Jul 21, 2022, registered Feb 22, 2013 (-3436 days) · Other
S••••••• P•••••• C••••• G••••• L•• to M••••••
left Jul 19, 2022, registered Oct 18, 2022 (91 days) · Other
C••••••• P••••••• I••••••••• A•••••••• L•• to S••••••• P•••••• C••••• G••••• L••
left Jul 19, 2022, registered Aug 12, 2013 (-3263 days) · channel change inside one enterprise, not a move
W••••••• F•••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••
left Apr 12, 2011, registered Jan 23, 2013 (652 days) · Other
F•••• H•••••• A•••••••• I•• to F•••• T•••••••• A••••••• S•••••••• I•••
left Feb 25, 2010, registered May 1, 2009 (-300 days) · Other
F•••• T•••••••• A••••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Feb 25, 2010, registered Sep 2, 2010 (189 days) · Other
S••••••• I••••••••• S•••••••• I••• to F•••• H•••••• A•••••••• I••
left Mar 3, 2009, registered Mar 12, 2009 (9 days) · Other
F•••• H•••••• A•••••••• I•• to S••••••• I••••••••• S•••••••• I•••
left Jul 7, 2008, registered Jan 13, 2009 (190 days) · Other

Signals

T••• P••• R••• left C••••• A•••••• N••••••• L•• for C••••••• P••••••• I••••••••• A•••••••• L•• (registered 2013-02-22)
Jul 21, 2022 · a•••••• firm change · fact
T••• P••• R••• left S••••••• P•••••• C••••• G••••• L•• for Mariner (registered 2022-10-18)
Jul 19, 2022 · a•••••• firm change · 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