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.

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Registered advisor

M•••••• F•••••• W••••••

O•••• W•••••• I•••BD affiliatedNashville, Tn dual registrantIAPD 4599071

Feed of 09/15/2026

At current firm

0 y

since Jun 1, 2026

In the industry

23 y

since Feb 14, 2003 (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

O•••• W•••••• I••• BD affiliated current
since Jun 1, 2026 · Nashville, Tn
C••••••••• F•••••••• N•••••• national BD
May 9, 2019 to Jun 1, 2026 · Franklin, Tn
O•••• W•••••• I••• BD affiliated
Nov 2, 2018 to May 9, 2019 · Brentwood, Tn
S••••••• I••••••••• I••• former
Jun 4, 2009 to Nov 2, 2018 · Alpharetta, Ga
U•• F•••••••• S••••••• I••• wirehouse
Aug 14, 2006 to May 13, 2009 · Franklin, Tn
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 2, 2004 to Aug 10, 2006 · Franklin, Tn

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to O•••• W•••••• I•••
left Jun 1, 2026, registered Jun 1, 2026 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
O•••• W•••••• I••• to C••••••••• F•••••••• N••••••
left May 9, 2019, registered May 9, 2019 (0 days) · Affiliated broker-dealer or bank to another
S••••••• I••••••••• I••• to O•••• W•••••• I•••
left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to S••••••• I••••••••• I•••
left May 13, 2009, registered Jun 4, 2009 (22 days) · Other
A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••
left Aug 10, 2006, registered Aug 14, 2006 (4 days) · Affiliated broker-dealer or bank to wirehouse

Signals

M•••••• F•••••• W•••••• left C••••••••• F•••••••• N•••••• for O•••• W•••••• I••• (registered 2026-06-01)
Jun 1, 2026 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address