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

V•••••• E••••••

C••••• I••••••••• A••••••• L••BD affiliatedPhoenix, Azdual registrantIAPD 1369601

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Mar 4, 2025

In the industry

41 y

since Jul 26, 1985 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Mar 4, 2025 · Phoenix, Az
O•••• A••••••• S•••••••• L•• BD affiliated
Oct 15, 2024 to Mar 5, 2025 · Atlanta, Ga
O•••• W•••••• I••• BD affiliated
Oct 11, 2024 to Oct 11, 2024 · Phoenix, Az
A••••••• P••••••••• A•••••••• I•• former
Aug 1, 2002 to Oct 11, 2024 · Holbrook, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 5, 2025, registered Mar 4, 2025 (-1 days) · Affiliated broker-dealer or bank to another
O•••• W•••••• I••• to O•••• A••••••• S•••••••• L••
left Oct 11, 2024, registered Oct 15, 2024 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move

Signals

V•••••• E•••••• left O•••• A••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-03-04)
Mar 5, 2025 · Advisor changed firm · fact
V•••••• E•••••• left O•••• W•••••• I••• for O•••• A••••••• S•••••••• L•• (registered 2024-10-15)
Oct 11, 2024 · 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: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address