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

A••• R•• V•• D•••

E•••••• E••••• L••BD affiliatedFranklin, Tn dual registrantIAPD 3008054

Feed of 09/14/2026

Also filed as A••• Roy Vand•••

At current firm

1 y

since Jan 1, 2025

In the industry

28 y

since Apr 3, 1998 (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

E•••••• E••••• L•• BD affiliated current
since Jan 1, 2025 · Franklin, Tn
C••••• A•••••• N••••••• L•• former
Jun 9, 2021 to Dec 31, 2022 · Huntington Beach, Ca
V••• F•••••••• A•••••••• I••• BD affiliated
Jul 15, 2013 to Jun 9, 2021 · Windsor, Ct
W••• S••••• F•••••••• G••••• I•• former
Aug 2, 2005 to Jun 28, 2013 · Huntington Beach, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 26, 2001 to Aug 2, 2005 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••••• N••••••• L•• to E•••••• E••••• L••
left Dec 31, 2022, registered Jan 1, 2025 (732 days) · Affiliated broker-dealer or bank to another
V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••
left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
W••• S••••• F•••••••• G••••• I•• to V••• F•••••••• A•••••••• I•••
left Jun 28, 2013, registered Jul 15, 2013 (17 days) · Other
A••••••••• F•••••••• S•••••••• L•• to W••• S••••• F•••••••• G••••• I••
left Aug 2, 2005, registered Aug 2, 2005 (0 days) · Other

Signals

A••• R•• V•• D••• left C••••• A•••••• N••••••• L•• for E•••••• E••••• L•• (registered 2025-01-01)
Dec 31, 2022 · a•••••• firm change · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address