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.

Registered advisor

Frederick Allan Phillips

Efinancial Alliance, LLCindependent RIAFranklin, TnIA-onlyIAPD 4849475

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Jan 25, 2024

In the industry

20 y

since Apr 13, 2006 (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

Professional profile

what the firm itself publishes, with the page it was read from

Title: Advisorreportedefinancialalliance.comfirm site, Sep 15, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

Efinancial Alliance, LLC independent RIA current
since Jan 25, 2024 · Franklin, Tn
Origin Investment Advisory LLC independent RIA
Jun 28, 2022 to Nov 7, 2023 · Franklin, Tn
Tree Street Advisory, LLC unclassified
Jan 20, 2021 to Mar 29, 2024 · Franklin, Tn
Taylor Securities, Inc. former
Mar 18, 2016 to Nov 25, 2020 · Brentwood, Tn
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Apr 13, 2015 to Mar 3, 2016 · Nashville, Tn
Park Avenue Securities LLC BD affiliated
Jun 19, 2006 to Mar 10, 2015 · Goodlettsville, Tn

Moves

a registration end followed by a registration begin elsewhere

Tree Street Advisory, LLC to Origin Investment Advisory LLC
left Mar 29, 2024, registered Jun 28, 2022 (-640 days) · Other
Origin Investment Advisory LLC to Efinancial Alliance, LLC
left Nov 7, 2023, registered Jan 25, 2024 (79 days) · RIA to RIA
Taylor Securities, Inc. to Tree Street Advisory, LLC
left Nov 25, 2020, registered Jan 20, 2021 (56 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Taylor Securities, Inc.
left Mar 3, 2016, registered Mar 18, 2016 (15 days) · Other
Park Avenue Securities LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Mar 10, 2015, registered Apr 13, 2015 (34 days) · Other

Signals

Frederick Allan Phillips left Tree Street Advisory, Llc for Origin Investment Advisory Llc (registered 2022-06-28)
Mar 29, 2024 · Advisor changed firm · fact
Frederick Allan Phillips left Origin Investment Advisory Llc for Efinancial Alliance, Llc (registered 2024-01-25)
Nov 7, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address