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••• T••••• W•••••

E••••• J••••national BDKnoxville, Tndual registrantIAPD 2934308

Feed of 09/14/2026

Also filed as S••• T W•••••

At current firm

2 y

since Dec 13, 2023

In the industry

28 y

since Oct 21, 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

E••••• J•••• national BD current
since Dec 13, 2023 · Knoxville, Tn
A•••••• A••••••• S••••••• former
Jan 6, 2023 to Dec 18, 2023 · Knoxville, Tn
L•• F•••••••• L•• BD affiliated
Sep 2, 2020 to Jan 20, 2023 · Oak Ridge, Tn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 1, 2016 to Sep 8, 2020 · Knoxville, Tn
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 12, 2014 to Jul 4, 2016 · Oak Ridge, Tn
L•• F•••••••• L•• BD affiliated
Feb 21, 2012 to Jan 31, 2014 · Fort Mill, Sc
C••• B•••••••• S•••••••• I••• former
Jan 5, 2007 to Feb 16, 2012 · Knoxville, Tn
A•••••• I••••••••• M••••••••• C•••••• L•• unclassified
Jan 17, 2006 to Nov 2, 2006 · Memphis, Tn
S•• A•••••••• I••• former
Feb 10, 2004 to May 23, 2005 · Knoxville, Tn

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to E••••• J••••
left Dec 18, 2023, registered Dec 13, 2023 (-5 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to A•••••• A••••••• S•••••••
left Jan 20, 2023, registered Jan 6, 2023 (-14 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Sep 8, 2020, registered Sep 2, 2020 (-6 days) · Wirehouse to affiliated broker-dealer or bank
C••••• I••••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 4, 2016, registered Jul 1, 2016 (-3 days) · Other
L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 31, 2014, registered Mar 12, 2014 (40 days) · Other
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left Feb 16, 2012, registered Feb 21, 2012 (5 days) · Other
A•••••• I••••••••• M••••••••• C•••••• L•• to C••• B•••••••• S•••••••• I•••
left Nov 2, 2006, registered Jan 5, 2007 (64 days) · Other
S•• A•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••
left May 23, 2005, registered Jan 17, 2006 (239 days) · Other

Signals

S••• T••••• W••••• left A•••••• A••••••• S••••••• for E••••• J•••• (registered 2023-12-13)
Dec 18, 2023 · Advisor changed firm · fact
S••• T••••• W••••• left L•• F•••••••• L•• for A•••••• A••••••• S••••••• (registered 2023-01-06)
Jan 20, 2023 · 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: National broker-dealer RIAderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address