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

C•••••• J••••••• A••••

L•• F•••••••• L••BD affiliatedAlcoa, Tn dual registrantIAPD 5654362

Feed of 09/15/2026

Also filed as C•••••• A••••

At current firm

4 y

since May 4, 2022

In the industry

17 y

since May 29, 2009 (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 May 4, 2022 · Pleasant View, Tn
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 28, 2019 to May 9, 2022 · Brentwood, Tn
F•••• C••••••• I••••••• S•••••••• I••• BD affiliated
Sep 20, 2012 to Feb 28, 2019 · Asheville, Nc
M••••• S•••••• wirehouse
Sep 16, 2011 to Oct 5, 2012 · Asheville, Nc
E••••• J•••• national BD
Jun 10, 2009 to Sep 19, 2011 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
left May 9, 2022, registered May 4, 2022 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
F•••• C••••••• I••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Feb 28, 2019, registered Feb 28, 2019 (0 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to F•••• C••••••• I••••••• S•••••••• I•••
left Oct 5, 2012, registered Sep 20, 2012 (-15 days) · Other
E••••• J•••• to M••••• S••••••
left Sep 19, 2011, registered Sep 16, 2011 (-3 days) · Affiliated broker-dealer or bank to wirehouse

Signals

C•••••• J••••••• A•••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2022-05-04)
May 9, 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address