DFX Intelligence
RIA Intelligence
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Registered advisor
D•••• D••••• S•••••••
Feed of 09/14/2026
Also filed as D•••• S•••••••
At current firm
4 y
since Jan 31, 2022
In the industry
19 y
since Nov 22, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
7
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Jan 31, 2022 · Jonesboro, Ar
- K••••• W••••• M••••••••• L•• independent RIAApr 27, 2021 to Feb 1, 2022 · Memphis, Tn
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 3, 2009 to May 28, 2020 · Brentwood, Tn
- W•••• F•••• A••••••• wirehouseFeb 4, 2009 to Aug 4, 2009 · Memphis, Tn
- V•••• F•••••••• A•••••••• I••• BD affiliatedNov 6, 2007 to Dec 5, 2008 · Ridgeland, Ms
Moves
a registration end followed by a registration begin elsewhere
- K••••• W••••• M••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Feb 1, 2022, registered Jan 31, 2022 (-1 days) · RIA to affiliated broker-dealer or bank
- V•••• F•••••••• A•••••••• I••• to K••••• W••••• M••••••••• L••left May 28, 2020, registered Apr 27, 2021 (334 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••left Aug 4, 2009, registered Aug 3, 2009 (-1 days) · Other
- V•••• F•••••••• A•••••••• I••• to W•••• F•••• A•••••••left Dec 5, 2008, registered Feb 4, 2009 (61 days) · Other
Signals
- D•••• D••••• S••••••• left K••••• W••••• M••••••••• L•• for V•••• F•••••••• A•••••••• I••• (registered 2022-01-31)Feb 1, 2022 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address