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

P•••••• S••• J••••••

L•• F•••••••• L••BD affiliatedKnoxville, Tndual registrantIAPD 4954765

Certified Financial Planner

Feed of 09/14/2026

Also filed as P•••••• J••••••

At current firm

1 y

since Aug 21, 2025

In the industry

21 y

since Jul 13, 2005 (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

L•• F•••••••• L•• BD affiliated current
since Aug 21, 2025 · Knoxville, Tn
F•••• T•••••••• A••••••• S•••••••• I••• former
Jun 25, 2009 to Oct 10, 2013 · Memphis, Tn
F•••• H•••••• A•••••••• I•• former
May 13, 2009 to Aug 21, 2025 · Greeneville, Tn
U•• F•••••••• S••••••• I••• wirehouse
Jul 14, 2005 to May 13, 2009 · J•••••• City, Tn

Moves

a registration end followed by a registration begin elsewhere

F•••• H•••••• A•••••••• I•• to F•••• T•••••••• A••••••• S•••••••• I•••
left Aug 21, 2025, registered Jun 25, 2009 (-5901 days) · Other · moved with a team
F•••• T•••••••• A••••••• S•••••••• I••• to L•• F•••••••• L••
left Oct 10, 2013, registered Aug 21, 2025 (4333 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to F•••• H•••••• A•••••••• I••
left May 13, 2009, registered May 13, 2009 (0 days) · Other

Signals

P•••••• S••• J•••••• left F•••• H•••••• A•••••••• I•• for F•••• T•••••••• A••••••• S•••••••• I••• (registered 2009-06-25)
Aug 21, 2025 · 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