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

S••• C••••••••• J•••••••

O•••• W•••••• I•••BD affiliatedNashville, Tn dual registrantIAPD 2853798

Feed of 09/14/2026

Also filed as S••• C••••••••• J•••••••

At current firm

2 y

since Aug 30, 2024

In the industry

23 y

since Apr 11, 2003 (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

O•••• W•••••• I••• BD affiliated current
since Aug 30, 2024 · Nashville, Tn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 1, 2018 to Jun 21, 2024 · Colorado Springs, Co
P••••••••• B•••••••• S•••••••• I••• independent RIA
Jan 18, 2007 to Oct 19, 2011 · Green Bay, Wi
W••••••• F•••••••• S•••••••• I••• former
Aug 24, 2005 to Aug 24, 2005 · Brookfield, Wi
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Sep 12, 2003 to Sep 1, 2005 · Waukesha, Wi

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• W•••••• I•••
left Jun 21, 2024, registered Aug 30, 2024 (70 days) · Wirehouse to affiliated broker-dealer or bank
P••••••••• B•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 19, 2011, registered Feb 1, 2018 (2297 days) · Other
T••••••••• F•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Sep 1, 2005, registered Aug 24, 2005 (-8 days) · Other
W••••••• F•••••••• S•••••••• I••• to P••••••••• B•••••••• S•••••••• I•••
left Aug 24, 2005, registered Jan 18, 2007 (512 days) · Other

Signals

S••• C••••••••• J••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for O•••• W•••••• I••• (registered 2024-08-30)
Jun 21, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address