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.
Feed of 09/14/2026
Also filed as Dave Vogel
At current firm
7 y
since Aug 7, 2019
In the industry
44 y
since Dec 17, 1981 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Simplicity Wealth mixed wealth currentsince Aug 7, 2019 · Summit, Nj
- Virtue Capital Management, LLC independent RIAMay 8, 2017 to Aug 6, 2019 · Roswell, Ga
- Brookstone Capital Management LLC independent RIAJun 16, 2015 to May 5, 2017 · Sandy Springs, Ga
- Investacorp Advisory Services Inc formerJun 12, 2014 to Dec 1, 2014 · Alpharetta, Ga
- Nestwise LLC formerJul 29, 2013 to Sep 27, 2013 · Atlanta, Ga
- Transamerica Financial Advisors, LLC BD affiliatedNov 19, 2012 to Jun 7, 2013 · Johns Creek, Ga
- Woodbury Financial Services, Inc. formerSep 30, 2008 to Nov 30, 2010 · Atlanta, Ga
- Raymond James Financial Services, Inc. unclassifiedApr 29, 2003 to Sep 23, 2008 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- Virtue Capital Management, LLC to Simplicity Wealthleft Aug 6, 2019, registered Aug 7, 2019 (1 days) · RIA to a newly registered adviser · moved with a team
- Brookstone Capital Management LLC to Virtue Capital Management, LLCleft May 5, 2017, registered May 8, 2017 (3 days) · Other
- Investacorp Advisory Services Inc to Brookstone Capital Management LLCleft Dec 1, 2014, registered Jun 16, 2015 (197 days) · Other
- Nestwise LLC to Investacorp Advisory Services Incleft Sep 27, 2013, registered Jun 12, 2014 (258 days) · Other
- Transamerica Financial Advisors, LLC to Nestwise LLCleft Jun 7, 2013, registered Jul 29, 2013 (52 days) · Other
- Woodbury Financial Services, Inc. to Transamerica Financial Advisors, LLCleft Nov 30, 2010, registered Nov 19, 2012 (720 days) · Other
- Raymond James Financial Services, Inc. to Woodbury Financial Services, Inc.left Sep 23, 2008, registered Sep 30, 2008 (7 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address