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

M••• J••••• V•••••••

A••••••••• F•••••••• S•••••••• L••national BDWestlake, Oh dual registrantIAPD 1081194

Feed of 09/15/2026

At current firm

3 y

since May 19, 2023

In the industry

41 y

since Oct 23, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since May 19, 2023 · Westlake, Oh
S•••••• N••••••• • C••••••• I••••••••• national BD
Mar 10, 2009 to Jun 12, 2023 · Westlake, Oh
B•••••• W••• • C••• I••• unclassified
Jun 3, 2008 to Mar 10, 2009 · Youngstown, Oh
U•• F•••••••• S••••••• I••• wirehouse
Feb 9, 2007 to Jun 6, 2008 · Akron, Oh
K•••••• C•••••• M•••••• I••• unclassified
Nov 19, 1999 to Feb 9, 2007 · Strongsville, Oh

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Jun 12, 2023, registered May 19, 2023 (-24 days) · Affiliated broker-dealer or bank to another
B•••••• W••• • C••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Mar 10, 2009, registered Mar 10, 2009 (0 days) · Other
U•• F•••••••• S••••••• I••• to B•••••• W••• • C••• I•••
left Jun 6, 2008, registered Jun 3, 2008 (-3 days) · Other
K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
left Feb 9, 2007, registered Feb 9, 2007 (0 days) · corporate re-registration, not a move

Signals

M••• J••••• V••••••• left S•••••• N••••••• • C••••••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-05-19)
Jun 12, 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: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address