DFX Intelligence
RIA Intelligence
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Registered advisor
S•••••• J•••• P•••••
Feed of 09/14/2026
At current firm
5 y
since Jun 16, 2021
In the industry
29 y
since Apr 17, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Jun 16, 2021 · Columbia, Tn
- R••••• W• B•••• • C•• I••••••••• mixed wealthSep 4, 2020 to Jun 14, 2021 · Columbia, Tn
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 9, 2020 · Franklin, Tn
- M••••• S•••••• • C•• L•• unclassifiedNov 7, 2008 to Jun 1, 2009 · Columbia, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 12, 2000 to Nov 10, 2008 · Columbia, Tn
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R••••• W• B•••• • C•• I•••••••••left Sep 9, 2020, registered Sep 4, 2020 (-5 days) · Wirehouse to independent RIA · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Nov 10, 2008, registered Nov 7, 2008 (-3 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address