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.

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Registered advisor

T••• T••••• R•••••••••

L•• F•••••••• L••BD affiliatedKnoxville, Tndual registrantIAPD 2379386

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

2 y

since Mar 1, 2024

In the industry

33 y

since Aug 30, 1993 (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

L•• F•••••••• L•• BD affiliated current
since Mar 1, 2024 · Knoxville, Tn
O•••• W•••••• I••• BD affiliated
Jan 19, 2024 to Mar 6, 2024 · Knoxville, Tn
P•••••• C••••• S•••••••• L•• BD affiliated
Jul 19, 2004 to Dec 14, 2005 · Knoxville, Tn
W••••••• F•••••••• S•••••••• I••• former
Jul 15, 2004 to Jan 19, 2024 · Knoxville, Tn
1••• C•••••• M••••••••• C•••••• unclassified
Mar 11, 2004 to Jul 19, 2004 · Knoxville, Tn

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Mar 6, 2024, registered Mar 1, 2024 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
W••••••• F•••••••• S•••••••• I••• to P•••••• C••••• S•••••••• L••
left Jan 19, 2024, registered Jul 19, 2004 (-7123 days) · Other · moved with a team
P•••••• C••••• S•••••••• L•• to O•••• W•••••• I•••
left Dec 14, 2005, registered Jan 19, 2024 (6610 days) · Other
1••• C•••••• M••••••••• C•••••• to W••••••• F•••••••• S•••••••• I•••
left Jul 19, 2004, registered Jul 15, 2004 (-4 days) · Other

Signals

T••• T••••• R••••••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-03-01)
Mar 6, 2024 · Advisor changed firm · fact
T••• T••••• R••••••••• left W••••••• F•••••••• S•••••••• I••• for P•••••• C••••• S•••••••• L•• (registered 2004-07-19)
Jan 19, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address