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••••••• E••••• M••••••

L•• F•••••••• L••BD affiliatedMemphis, Tndual registrantIAPD 6518275

Feed of 09/14/2026

Also filed as C••••••• E••••• M••••••

At current firm

1 y

since Aug 21, 2025

In the industry

10 y

since Feb 1, 2016 (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 Aug 21, 2025 · Memphis, Tn
F•••• H•••••• A•••••••• I•• former
Jan 7, 2025 to Aug 21, 2025 · Memphis, Tn
F••••••• P••••••• A•• W•••••••• A••••••• former
Dec 22, 2022 to Jan 10, 2025 · Germantown, Tn
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 29, 2022 to Oct 12, 2022 · Memphis, Tn
R•••••• J•••• • A••••••••• I••• national BD
Jun 17, 2020 to Apr 14, 2022 · Memphis, Tn
C••• B•••••••• S•••••••• I••• former
Mar 20, 2020 to Jun 17, 2020 · Memphis, Tn
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 20, 2017 to Oct 4, 2019 · Memphis, Tn
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Jun 7, 2016 to Jan 19, 2017 · Memphis, Tn

Moves

a registration end followed by a registration begin elsewhere

F•••• H•••••• A•••••••• I•• to L•• F•••••••• L••
left Aug 21, 2025, registered Aug 21, 2025 (0 days) · corporate re-registration, not a move
F••••••• P••••••• A•• W•••••••• A••••••• to F•••• H•••••• A•••••••• I••
left Jan 10, 2025, registered Jan 7, 2025 (-3 days) · Affiliated broker-dealer or bank to independent RIA
C••••• I••••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 12, 2022, registered Dec 22, 2022 (71 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• • A••••••••• I••• to C••••• I••••••••• A••••••• L••
left Apr 14, 2022, registered Mar 29, 2022 (-16 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Jun 17, 2020, registered Jun 17, 2020 (0 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to C••• B•••••••• S•••••••• I•••
left Oct 4, 2019, registered Mar 20, 2020 (168 days) · Affiliated broker-dealer or bank to another
N••••••••• M••••• I••••••••• S••••••••• to C••••• I••••••••• A••••••• L••
left Jan 19, 2017, registered Jan 20, 2017 (1 days) · Other

Signals

C••••••• E••••• M•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for F•••• H•••••• A•••••••• I•• (registered 2025-01-07)
Jan 10, 2025 · Advisor changed firm · fact
C••••••• E••••• M•••••• left C••••• I••••••••• A••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-12-22)
Oct 12, 2022 · Advisor changed firm · fact
C••••••• E••••• M•••••• left R•••••• J•••• • A••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2022-03-29)
Apr 14, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address