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.
Feed of 09/15/2026
At current firm
1 y
since Jan 10, 2025
In the industry
33 y
since Sep 17, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- Vanguard Capital independent RIA currentsince Jan 10, 2025 · Irvine, Ca
- Vanguard Capital formerMay 14, 2009 to Dec 31, 2016 · Irvine, Ca
- Morgan Stanley & Co. LLC unclassifiedApr 2, 2007 to May 28, 2009 · Irvine, Ca
- Morgan Stanley Dw Inc. unclassifiedAug 15, 2001 to Apr 2, 2007 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- Vanguard Capital to Vanguard Capitalleft Dec 31, 2016, registered Jan 10, 2025 (2932 days) · channel change inside one enterprise, not a move · moved with a team
- Morgan Stanley & Co. LLC to Vanguard Capitalleft May 28, 2009, registered May 14, 2009 (-14 days) · Other
- Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLCleft Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address