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

W••••• V•••••• N•••••

C•••• A•••••••• L••independent RIARockwall, Tx dual registrantIAPD 2275929

Feed of 09/15/2026

Also filed as Vince N•••••

At current firm

1 y

since Sep 17, 2025

In the industry

13 y

since Oct 9, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••• A•••••••• L•• independent RIA current
since Sep 17, 2025 · Rockwall, Tx
A•••• W••••• A•••••••• L•• BD affiliated
Jul 17, 2020 to May 1, 2025 · Chicago, Il
P••• A••••• S••••••••• L•• BD affiliated
Apr 29, 2019 to Aug 3, 2020 · Dallas, Tx
C••••• W••••• M••••••••• L•• state registered
Mar 6, 2017 to Dec 12, 2018 · Rockwall, Tx
S•••••••• A••••••• L•• national BD
Nov 19, 2012 to May 6, 2015 · Westlake, Tx

Moves

a registration end followed by a registration begin elsewhere

A•••• W••••• A•••••••• L•• to C•••• A•••••••• L••
left May 1, 2025, registered Sep 17, 2025 (139 days) · Affiliated broker-dealer or bank to independent RIA
P••• A••••• S••••••••• L•• to A•••• W••••• A•••••••• L••
left Aug 3, 2020, registered Jul 17, 2020 (-17 days) · Affiliated broker-dealer or bank to another
C••••• W••••• M••••••••• L•• to P••• A••••• S••••••••• L••
left Dec 12, 2018, registered Apr 29, 2019 (138 days) · Other
S•••••••• A••••••• L•• to C••••• W••••• M••••••••• L••
left May 6, 2015, registered Mar 6, 2017 (670 days) · Affiliated broker-dealer or bank to a state-registered adviser

Signals

W••••• V•••••• N••••• left A•••• W••••• A•••••••• L•• for C•••• A•••••••• L•• (registered 2025-09-17)
May 1, 2025 · 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: Independent wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address