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••••• C••••• B••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedNashville, Tndual registrantIAPD 5848558

Feed of 09/14/2026

Also filed as D C••••• B••••

At current firm

7 y

since Aug 16, 2019

In the industry

15 y

since Mar 5, 2011 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Aug 16, 2019 · Nashville, Tn
P••• A••••• S••••••••• L•• BD affiliated
Aug 24, 2018 to Jun 28, 2019 · Brentwood, Tn
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jan 16, 2013 to Jul 20, 2017 · Nashville, Tn
F•••••••• E••••• S•••••••• I••• former
Nov 28, 2011 to Dec 31, 2012 · Nashville, Tn
E•••••••• A•••••••• L•• national BD
Mar 7, 2011 to Nov 4, 2011 · Franklin, Tn

Moves

a registration end followed by a registration begin elsewhere

P••• A••••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jun 28, 2019, registered Aug 16, 2019 (49 days) · Affiliated broker-dealer or bank to another
C•••••••• I••••••••• R••••••• A•••••••• I••• to P••• A••••• S••••••••• L••
left Jul 20, 2017, registered Aug 24, 2018 (400 days) · Other
F•••••••• E••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 31, 2012, registered Jan 16, 2013 (16 days) · Other
E•••••••• A•••••••• L•• to F•••••••• E••••• S•••••••• I•••
left Nov 4, 2011, registered Nov 28, 2011 (24 days) · Other

Signals

No dated event on this person.

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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address