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.

Registered advisor

Khiem Thi Truong - Von Garvisch

LPL Enterprise, LLCBD affiliatedPanama City Beach, Fl dual registrantIAPD 3131311

Feed of 09/15/2026

Also filed as Khiem Thi Truong

At current firm

0 y

since Jun 11, 2026

In the industry

27 y

since Mar 17, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Enterprise, LLC BD affiliated current
since Jun 11, 2026 · Jacksonville, Fl
LPL Financial LLC BD affiliated
Jan 16, 2025 to Apr 13, 2026 · Memphis, Tn
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jul 11, 2022 to Jul 23, 2024 · Panama City, Fl
Cetera Investment Advisers LLC BD affiliated
Aug 14, 2020 to Jul 8, 2022 · Panama City Beach, Fl
Baseline Investments, LLC state registered
Oct 7, 2019 to Jul 21, 2020 · San Francisco, Ca
Npb Financial Group, LLC former
Jun 25, 2019 to Jun 29, 2020 · Las Vegas, Nv
Strategic Advisers LLC national BD
Feb 23, 2017 to Nov 16, 2017 · Walnut Creek, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Feb 26, 2013 to Jan 6, 2017 · Santa Clara, Ca
American Century Advisory Services, Inc. former
Jul 18, 2011 to Oct 30, 2012 · Mountain View, Ca
Charles Schwab & Co., Inc. national BD
Oct 20, 1999 to Mar 31, 2011 · Fremont, Ca

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to LPL Enterprise, LLC
left Apr 13, 2026, registered Jun 11, 2026 (59 days) · channel change inside one enterprise, not a move
Merrill Lynch, Pierce, Fenner & Smith Incorporated to LPL Financial LLC
left Jul 23, 2024, registered Jan 16, 2025 (177 days) · Wirehouse to affiliated broker-dealer or bank
Cetera Investment Advisers LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jul 8, 2022, registered Jul 11, 2022 (3 days) · Affiliated broker-dealer or bank to wirehouse
Baseline Investments, LLC to Cetera Investment Advisers LLC
left Jul 21, 2020, registered Aug 14, 2020 (24 days) · Other
Npb Financial Group, LLC to Baseline Investments, LLC
left Jun 29, 2020, registered Oct 7, 2019 (-266 days) · RIA to a state-registered adviser
Strategic Advisers LLC to Npb Financial Group, LLC
left Nov 16, 2017, registered Jun 25, 2019 (586 days) · Affiliated broker-dealer or bank to independent RIA
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Strategic Advisers LLC
left Jan 6, 2017, registered Feb 23, 2017 (48 days) · Wirehouse to affiliated broker-dealer or bank
American Century Advisory Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 30, 2012, registered Feb 26, 2013 (119 days) · Other
Charles Schwab & Co., Inc. to American Century Advisory Services, Inc.
left Mar 31, 2011, registered Jul 18, 2011 (109 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

Khiem Thi Truong - Von Garvisch left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Lpl Financial Llc (registered 2025-01-16)
Jul 23, 2024 · Advisor changed firm · fact
Khiem Thi Truong - Von Garvisch left Cetera Investment Advisers Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-07-11)
Jul 8, 2022 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address