DFX Intelligence
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Registered advisor
R•••••• V•••••• S••••
Feed of 09/15/2026
At current firm
16 y
since Jan 5, 2010
In the industry
28 y
since Feb 21, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Jan 5, 2010 · Elk Grove, Ca
- E•••••••• A•••••••• L•• national BDJan 28, 2009 to Dec 8, 2009 · Bethlehem, Pa
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 22, 2004 to Jan 30, 2009 · Morristown, Nj
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Dec 8, 2009, registered Jan 5, 2010 (28 days) · Other
- V•••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Jan 30, 2009, registered Jan 28, 2009 (-2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address