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

T•••••• T••••

E••••• J••••national BDMaryville, Tndual registrantIAPD 6173862

Feed of 09/14/2026

Also filed as T•••••• T••••

At current firm

1 y

since Mar 28, 2025

In the industry

13 y

since Aug 23, 2013 (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

E••••• J•••• national BD current
since Mar 28, 2025 · Maryville, Tn
A••••• A•• P••••••• S••••••• BD affiliated
Mar 8, 2023 to Jan 31, 2025 · Knoxville, Tn
C••••• I••••••••• A••••••• L•• BD affiliated
Feb 7, 2020 to Feb 21, 2023 · Sweetwater, Tn
A• W••••• M••••••••• L•• BD affiliated
Jun 25, 2018 to Aug 26, 2019 · Cookeville, Tn
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 11, 2017 to Feb 8, 2018 · Sevierville, Tn
W•••• F•••• A••••••• wirehouse
Sep 13, 2016 to Aug 31, 2017 · Farmville, Va
E••••• J•••• national BD
Aug 26, 2013 to Mar 4, 2016 · Chesterfield, Mo

Moves

a registration end followed by a registration begin elsewhere

A••••• A•• P••••••• S••••••• to E••••• J••••
left Jan 31, 2025, registered Mar 28, 2025 (56 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••
left Feb 21, 2023, registered Mar 8, 2023 (15 days) · Affiliated broker-dealer or bank to another
A• W••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••
left Aug 26, 2019, registered Feb 7, 2020 (165 days) · RIA to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to A• W••••• M••••••••• L••
left Feb 8, 2018, registered Jun 25, 2018 (137 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Aug 31, 2017, registered Sep 11, 2017 (11 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to W•••• F•••• A•••••••
left Mar 4, 2016, registered Sep 13, 2016 (193 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

T•••••• T•••• left A••••• A•• P••••••• S••••••• for E••••• J•••• (registered 2025-03-28)
Jan 31, 2025 · Advisor changed firm · fact
T•••••• T•••• left C••••• I••••••••• A••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2023-03-08)
Feb 21, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address