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

D••••• W•••••• S•••••

E•••••••• A•••••••• L••national BDNolensville, Tndual registrantIAPD 5037031

Feed of 09/14/2026

Also filed as D••••• S•••••

At current firm

1 y

since Feb 18, 2025

In the industry

20 y

since Jul 25, 2006 (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•••••••• A•••••••• L•• national BD current
since Feb 18, 2025 · Nolensville, Tn
L•• E••••••••• L•• BD affiliated
Nov 14, 2024 to Feb 7, 2025 · Franklin, Tn
P•••• S••••••••• L•• no RAUM
Apr 26, 2016 to Nov 14, 2024 · Franklin, Tn
P•••••••• S••••••••• I••• BD affiliated
Nov 20, 2012 to Apr 19, 2016 · Brentwood, Tn
N•• E•••••• S••••••••• C••••••••• former
Mar 29, 2012 to Nov 14, 2012 · Brentwood, Tn
E••••• J•••• national BD
Jul 20, 2009 to Dec 9, 2011 · Nolensville, Tn
S•••••••• A••••••• L•• national BD
Jun 17, 2008 to Feb 20, 2009 · Franklin, Tn

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to E•••••••• A•••••••• L••
left Feb 7, 2025, registered Feb 18, 2025 (11 days) · Other · moved with a team
P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
P•••••••• S••••••••• I••• to P•••• S••••••••• L••
left Apr 19, 2016, registered Apr 26, 2016 (7 days) · Other · moved with a team
N•• E•••••• S••••••••• C••••••••• to P•••••••• S••••••••• I•••
left Nov 14, 2012, registered Nov 20, 2012 (6 days) · Other
E••••• J•••• to N•• E•••••• S••••••••• C•••••••••
left Dec 9, 2011, registered Mar 29, 2012 (111 days) · Other
S•••••••• A••••••• L•• to E••••• J••••
left Feb 20, 2009, registered Jul 20, 2009 (150 days) · Affiliated broker-dealer or bank to another

Signals

D••••• W•••••• S••••• left L•• E••••••••• L•• for E•••••••• A•••••••• L•• (registered 2025-02-18)
Feb 7, 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: National broker-dealer RIAderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address