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

R••••• T••• P••••••

S•••••••• A••••••• L••national BDGermantown, Tndual registrantIAPD 2903651

Feed of 09/14/2026

Also filed as T••• P••••••

At current firm

1 y

since Mar 31, 2025

In the industry

29 y

since Jul 22, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Germantown, Tn
F••••••• P••••••• A•• W•••••••• A••••••• former
Sep 18, 2020 to Mar 31, 2025 · Germantown, Tn
T• A••••••••• I••• former
Dec 11, 2018 to Jun 30, 2020 · Germantown, Tn
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 11, 2018 to Jun 30, 2020 · Memphis, Tn
C•••••• S••••• • C••• I••• national BD
Mar 13, 2014 to Nov 28, 2018 · Germantown, Tn
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 21, 2014 to Feb 10, 2014 · Schaumburg, Il
C••••• I••••••••• S••••••• L•• former
Jan 11, 2013 to Jan 21, 2014 · St Cloud, Mn
C•••••• S••••• • C••• I••• national BD
Jan 31, 2012 to Jan 23, 2013 · Germantown, Tn
M••••• S•••••• wirehouse
Jun 1, 2009 to Mar 11, 2011 · Memphis, Tn
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 5, 2008 to Jun 1, 2009 · Memphis, Tn
N•••• S••• F•••••••• G•••• L•• unclassified
Jul 7, 2006 to Jul 17, 2006 · Cordova, Tn
N•• F•••••••• S•••••••• I••• unclassified
Jan 8, 2004 to Jul 20, 2004 · Memphis, Tn

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jun 30, 2020, registered Dec 11, 2018 (-567 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 30, 2020, registered Dec 11, 2018 (-567 days) · channel change inside one enterprise, not a move
C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 28, 2018, registered Dec 11, 2018 (13 days) · Affiliated broker-dealer or bank to independent RIA
C••••• I••••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Feb 10, 2014, registered Mar 13, 2014 (31 days) · Other
C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to C••••• I••••••••• S••••••• L••
left Jan 23, 2013, registered Jan 11, 2013 (-12 days) · Other
M••••• S•••••• to C•••••• S••••• • C••• I•••
left Mar 11, 2011, registered Jan 31, 2012 (326 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
N•••• S••• F•••••••• G•••• L•• to C•••••••• G••••• M•••••• I•••
left Jul 17, 2006, registered Jun 5, 2008 (689 days) · Other
N•• F•••••••• S•••••••• I••• to N•••• S••• F•••••••• G•••• L••
left Jul 20, 2004, registered Jul 7, 2006 (717 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: National broker-dealer RIAderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address