DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S•••• F••••••• S•••••••
Feed of 09/15/2026
Also filed as S•••• L••• F•••••••
At current firm
16 y
since Mar 1, 2010
In the industry
25 y
since Nov 30, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Mar 1, 2010 · Brentwood, Tn
- U••• B•••••• I••••••••• I••• formerJan 5, 2007 to Feb 26, 2010 · Brentwood, Tn
- M••••• S•••••• D• I••• unclassifiedJan 26, 2004 to Apr 12, 2005 · Nashville, Tn
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Feb 26, 2010, registered Mar 1, 2010 (3 days) · Other
- M••••• S•••••• D• I••• to U••• B•••••• I••••••••• I•••left Apr 12, 2005, registered Jan 5, 2007 (633 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address