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

B•••• J•••• A•••••

C•••• A•••••••• L••independent RIANashville, Tn dual registrantIAPD 4069907

Feed of 09/14/2026

At current firm

2 y

since Dec 13, 2023

In the industry

25 y

since Jul 20, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••• A•••••••• L•• independent RIA current
since Dec 13, 2023 · Overland Park, Ks
A•••• W••••• A•••••••• L•• BD affiliated
Mar 31, 2023 to Dec 12, 2023 · Nashville, Tn
A•••• W••••• A•••••••• L•• BD affiliated
Mar 10, 2021 to Dec 31, 2021 · Chicago, Il
C••••• S••••• A•••••••• I••• former
Jan 29, 2015 to Jun 27, 2023 · Nashville, Tn
B••••••••• C•••••• M••••••••• L•• independent RIA
Sep 26, 2013 to Jan 29, 2015 · Brentwood, Tn
Q•••• • R•••••• I••• unclassified
Dec 16, 2002 to May 12, 2003 · Nashville, Tn
E•••••••• A•••••••• L•• national BD
Jul 20, 2001 to Aug 21, 2002 · Nashville, Tn

Moves

a registration end followed by a registration begin elsewhere

A•••• W••••• A•••••••• L•• to C•••• A•••••••• L••
left Dec 12, 2023, registered Dec 13, 2023 (1 days) · Affiliated broker-dealer or bank to independent RIA
C••••• S••••• A•••••••• I••• to A•••• W••••• A•••••••• L••
left Jun 27, 2023, registered Mar 10, 2021 (-839 days) · RIA to affiliated broker-dealer or bank · moved with a team
B••••••••• C•••••• M••••••••• L•• to C••••• S••••• A•••••••• I•••
left Jan 29, 2015, registered Jan 29, 2015 (0 days) · Other
Q•••• • R•••••• I••• to B••••••••• C•••••• M••••••••• L••
left May 12, 2003, registered Sep 26, 2013 (3790 days) · Other
E•••••••• A•••••••• L•• to Q•••• • R•••••• I•••
left Aug 21, 2002, registered Dec 16, 2002 (117 days) · Other

Signals

B•••• J•••• A••••• left A•••• W••••• A•••••••• L•• for C•••• A•••••••• L•• (registered 2023-12-13)
Dec 12, 2023 · Advisor changed firm · fact
B•••• J•••• A••••• left C••••• S••••• A•••••••• I••• for A•••• W••••• A•••••••• L•• (registered 2021-03-10)
Jun 27, 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: Independent wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address