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

A••••• R•••••

E•••• S••••••••• L••BD affiliatedFranklin, Tndual registrantIAPD 4882959

Feed of 09/14/2026

At current firm

2 y

since Jun 20, 2024

In the industry

21 y

since Jun 22, 2005 (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

E•••• S••••••••• L•• BD affiliated current
since Jun 20, 2024 · Franklin, Tn
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 13, 2023 to May 4, 2024 · Hendersonville, Tn
U••• B•••••• I••••••••• I••• former
Jul 15, 2019 to Nov 3, 2023 · Irvine, Ca
J••• M••••• P•••••• W••••• A••••••• L•• former
Sep 12, 2016 to Oct 18, 2018 · New York, Ny
M••••• S•••••• wirehouse
Jul 30, 2013 to Apr 11, 2016 · Cupertino, Ca
U•• F•••••••• S••••••• I••• wirehouse
May 15, 2012 to Jul 29, 2013 · San Francisco, Ca
M••••• S•••••• wirehouse
Jun 29, 2011 to Apr 10, 2012 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to E•••• S••••••••• L••
left May 4, 2024, registered Jun 20, 2024 (47 days) · Affiliated broker-dealer or bank to another
U••• B•••••• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Nov 3, 2023, registered Nov 13, 2023 (10 days) · Affiliated broker-dealer or bank to another
J••• M••••• P•••••• W••••• A••••••• L•• to U••• B•••••• I••••••••• I•••
left Oct 18, 2018, registered Jul 15, 2019 (270 days) · RIA to affiliated broker-dealer or bank
M••••• S•••••• to J••• M••••• P•••••• W••••• A••••••• L••
left Apr 11, 2016, registered Sep 12, 2016 (154 days) · Other
U•• F•••••••• S••••••• I••• to M••••• S••••••
left Jul 29, 2013, registered Jul 30, 2013 (1 days) · Wirehouse to wirehouse
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Apr 10, 2012, registered May 15, 2012 (35 days) · Wirehouse to wirehouse

Signals

A••••• R••••• left A••••••••• F•••••••• S•••••••• L•• for E•••• S••••••••• L•• (registered 2024-06-20)
May 4, 2024 · Advisor changed firm · fact
A••••• R••••• left U••• B•••••• I••••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-11-13)
Nov 3, 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: 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