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••••••••• S•••• F•••••

E••••• J••••national BDKnoxville, Tndual registrantIAPD 6590366

Feed of 09/14/2026

Also filed as C••••••••• S•••• F•••••

At current firm

0 y

since Sep 26, 2025

In the industry

16 y

since Sep 1, 2010 (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 Sep 26, 2025 · Knoxville, Tn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 7, 2023 to Sep 17, 2025 · Brentwood, Tn
E•••••• C•••••• M••••••••• L•• former
Mar 28, 2018 to Aug 11, 2023 · Charlotte, Nc
S•••••••• I••••••••• M••••••••• former
Jan 2, 2018 to Mar 9, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Sep 17, 2025, registered Sep 26, 2025 (9 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 11, 2023, registered Sep 7, 2023 (27 days) · RIA to wirehouse
S•••••••• I••••••••• M••••••••• to E•••••• C•••••• M••••••••• L••
left Mar 9, 2018, registered Mar 28, 2018 (19 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team

Signals

C••••••••• S•••• F••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2025-09-26)
Sep 17, 2025 · Advisor changed firm · fact
C••••••••• S•••• F••••• left E•••••• C•••••• M••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-09-07)
Aug 11, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address