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

L••••• S•••• A••••

R•••••• J•••• • A••••••••• I•••national BDMemphis, Tndual registrantIAPD 5217722

Certified Financial Planner

Feed of 09/14/2026

At current firm

3 y

since Aug 2, 2023

In the industry

19 y

since Dec 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

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Aug 2, 2023 · Memphis, Tn
C••• W••••• M••••••••• L•• former
Jul 11, 2023 to Aug 22, 2023 · Memphis, Tn
R•••••• J•••• • A••••••••• I••• national BD
Feb 13, 2013 to Jul 17, 2023 · Memphis, Tn
M••••• K••••• • C••••••• L•• former
Dec 14, 2006 to Feb 13, 2013 · Memphis, Tn

Moves

a registration end followed by a registration begin elsewhere

C••• W••••• M••••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Aug 22, 2023, registered Aug 2, 2023 (-20 days) · Other
R•••••• J•••• • A••••••••• I••• to C••• W••••• M••••••••• L••
left Jul 17, 2023, registered Jul 11, 2023 (-6 days) · Affiliated broker-dealer or bank to a newly registered adviser
M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move

Signals

L••••• S•••• A•••• left C••• W••••• M••••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-08-02)
Aug 22, 2023 · Advisor changed firm · fact
L••••• S•••• A•••• left R•••••• J•••• • A••••••••• I••• for C••• W••••• M••••••••• L•• (registered 2023-07-11)
Jul 17, 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: National broker-dealer RIAderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address