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

M•••••• J•••• T••••••

L•• F•••••••• L••BD affiliatedJohnson City, Tndual registrantIAPD 4441952

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as M•••••• J•••• T••••••

At current firm

3 y

since Dec 1, 2022

In the industry

25 y

since Jul 1, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Dec 1, 2022 · Johnson City, Tn
T•••••• W••••• M••••••••• L•• unclassified
Oct 27, 2021 to Apr 20, 2022 · Johnson City, Tn
S••••••••• A•••••• A•••••••• I••• former
Sep 18, 2020 to Dec 1, 2022 · Johnson City, Tn
S•• A•••••••• I••• former
Mar 23, 2017 to Sep 18, 2020 · Johnson City, Tn
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Sep 29, 2006 to Sep 14, 2016 · Johnson City, Tn

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to T•••••• W••••• M••••••••• L••
left Dec 1, 2022, registered Oct 27, 2021 (-400 days) · Other
T•••••• W••••• M••••••••• L•• to L•• F•••••••• L••
left Apr 20, 2022, registered Dec 1, 2022 (225 days) · Other
S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
N••••••••• M••••• I••••••••• S••••••••• to S•• A•••••••• I•••
left Sep 14, 2016, registered Mar 23, 2017 (190 days) · Other

Signals

M•••••• J•••• T•••••• left S••••••••• A•••••• A•••••••• I••• for T•••••• W••••• M••••••••• L•• (registered 2021-10-27)
Dec 1, 2022 · Advisor changed firm · fact
M•••••• J•••• T•••••• left T•••••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2022-12-01)
Apr 20, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address