DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R•••• V•••••
Feed of 09/14/2026
Also filed as R•••• V••••••••• V•••••
At current firm
2 y
since Aug 16, 2024
In the industry
31 y
since Mar 21, 1995 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 16, 2024 · Irvine, Ca
- J• W• C••• A•••••••• I••• BD affiliatedFeb 18, 2020 to Sep 9, 2024 · Brea, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 28, 2019 to Jan 30, 2020 · Brea, Ca
- W•••• F•••• A••••••• wirehouseAug 7, 2015 to Sep 10, 2019 · Brea, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 15, 2010 to Aug 10, 2015 · Brea, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 19, 2010 · Upland, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 22, 2008 to Oct 23, 2009 · Riverside, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 7, 2002 to Feb 25, 2008 · Chino, Ca
Moves
a registration end followed by a registration begin elsewhere
- J• W• C••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 9, 2024, registered Aug 16, 2024 (-24 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J• W• C••• A•••••••• I•••left Jan 30, 2020, registered Feb 18, 2020 (19 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 10, 2019, registered Aug 28, 2019 (-13 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 10, 2015, registered Aug 7, 2015 (-3 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jul 19, 2010, registered Jul 15, 2010 (-4 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 25, 2008, registered Feb 22, 2008 (-3 days) · Other
Signals
- R•••• V••••• left J• W• C••• A•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-08-16)Sep 9, 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address