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

K•••• T••••• S••••••••

L•• F•••••••• L••BD affiliatedLoudon, Tndual registrantIAPD 4763718

Feed of 09/14/2026

At current firm

0 y

since Dec 5, 2025

In the industry

21 y

since Oct 22, 2004 (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

L•• F•••••••• L•• BD affiliated current
since Dec 5, 2025 · Loudon, Tn
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Dec 16, 2025 · Loudon, Tn
C••••• A•••••• N••••••• L•• former
May 20, 2021 to Jun 29, 2023 · Loudon, Tn
S••••• F•••••••• G•••• I•• former
Jan 18, 2019 to May 20, 2021 · Loudon, Tn
W•••• F•••• A••••••• wirehouse
Dec 7, 2015 to Jan 18, 2019 · Loudon, Tn
E••••• J•••• national BD
Dec 9, 2009 to Dec 8, 2015 · Knoxville, Tn
J••••• H•••••••• W••• L••••• L•• former
Jun 15, 2007 to Apr 28, 2009 · Knoxville, Tn

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Dec 16, 2025, registered Dec 5, 2025 (-11 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••
left May 20, 2021, registered May 20, 2021 (0 days) · channel change inside one enterprise, not a move · moved with a team
W•••• F•••• A••••••• to S••••• F•••••••• G•••• I••
left Jan 18, 2019, registered Jan 18, 2019 (0 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to W•••• F•••• A•••••••
left Dec 8, 2015, registered Dec 7, 2015 (-1 days) · Affiliated broker-dealer or bank to wirehouse
J••••• H•••••••• W••• L••••• L•• to E••••• J••••
left Apr 28, 2009, registered Dec 9, 2009 (225 days) · Other

Signals

K•••• T••••• S•••••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2025-12-05)
Dec 16, 2025 · a•••••• firm change · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address