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••••••••• P•••••••

E••••• J••••national BDGreenwood, Ardual registrantIAPD 4329191

Feed of 09/14/2026

Also filed as S•••• C••••••••• P•••••••

At current firm

3 y

since Jun 9, 2023

In the industry

25 y

since Feb 14, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

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 Jun 9, 2023 · Greenwood, Ar
S•••••• N••••••• • C••••••• I••••••••• national BD
Aug 5, 2016 to Feb 25, 2022 · Fort S••••, Ar
A••••• W••••• M••••••••• independent RIA
Sep 30, 2010 to Aug 8, 2016 · Ft. S••••, Ar
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 15, 2005 to Sep 29, 2010 · Fort S••••, Ar
M••••• S•••••• D• I••• unclassified
May 17, 2002 to Aug 29, 2005 · Little Rock, Ar
C•••••••• G••••• M•••••• I••• BD affiliated
May 24, 2001 to May 24, 2002 · Fort S••••, Az

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to E••••• J••••
left Feb 25, 2022, registered Jun 9, 2023 (469 days) · Affiliated broker-dealer or bank to another
A••••• W••••• M••••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Aug 8, 2016, registered Aug 5, 2016 (-3 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• W••••• M•••••••••
left Sep 29, 2010, registered Sep 30, 2010 (1 days) · Other
M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 29, 2005, registered Aug 15, 2005 (-14 days) · Other
C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••
left May 24, 2002, registered May 17, 2002 (-7 days) · Other

Signals

S•••• C••••••••• P••••••• left S•••••• N••••••• • C••••••• I••••••••• for E••••• J•••• (registered 2023-06-09)
Feb 25, 2022 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address