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•••••• T••••• F••••••

A••••••••• F•••••••• S•••••••• L••national BDGarden City, Ny dual registrantIAPD 1791902

Feed of 09/14/2026

Also filed as V•••••• T••••• F••••••

At current firm

2 y

since Feb 16, 2024

In the industry

38 y

since Apr 6, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

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 Feb 16, 2024 · Garden City, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 6, 2008 to Feb 22, 2024 · Garden City, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to Jun 26, 2008 · Plainview, Ny
C••••••• I••••••••• S••••••• unclassified
Feb 7, 2007 to May 29, 2007 · Massapequa Park, Ny

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Feb 22, 2024, registered Feb 16, 2024 (-6 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 26, 2008, registered Jun 6, 2008 (-20 days) · Other
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move

Signals

V•••••• T••••• F•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-02-16)
Feb 22, 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: National broker-dealer RIAderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address