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•••••• P••••• S••••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedGreensboro, Ncdual registrantIAPD 6671892

Feed of 09/14/2026

Also filed as P••••• S••••••

At current firm

0 y

since Aug 13, 2026

In the industry

11 y

since Nov 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Aug 13, 2026 · Greensboro, Nc
U••• B•••••• A•••••••• L•• BD affiliated
Feb 13, 2026 to Aug 12, 2026 · Nashville, Tn
U••• B•••••• I••••••••• I••• former
Jul 14, 2022 to Feb 13, 2026 · Hendersonville, Tn
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 15, 2019 to Jul 26, 2022 · Lebanon, Tn
W•••• F•••• A••••••• wirehouse
Jun 7, 2017 to Jan 9, 2019 · Nashville, Tn
F•••• T•••• S••••••••• I••• BD affiliated
Apr 10, 2017 to Jun 12, 2017 · Hermitage, Tn

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Aug 12, 2026, registered Aug 13, 2026 (1 days) · Affiliated broker-dealer or bank to another
U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U••• B•••••• I••••••••• I•••
left Jul 26, 2022, registered Jul 14, 2022 (-12 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 9, 2019, registered Jan 15, 2019 (6 days) · Wirehouse to affiliated broker-dealer or bank
F•••• T•••• S••••••••• I••• to W•••• F•••• A•••••••
left Jun 12, 2017, registered Jun 7, 2017 (-5 days) · Other

Signals

C•••••• P••••• S•••••• left U••• B•••••• A•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-08-13)
Aug 12, 2026 · Advisor changed firm · fact
C•••••• P••••• S•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for U••• B•••••• I••••••••• I••• (registered 2022-07-14)
Jul 26, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address