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•••• D•••••••••

V••••••••• A••••••• S•••••••BD affiliatedWoodbury, Ny dual registrantIAPD 3211462

Feed of 09/15/2026

Also filed as A•••• A D•••••••••

At current firm

3 y

since Feb 23, 2023

In the industry

27 y

since Aug 11, 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

V••••••••• A••••••• S••••••• BD affiliated current
since Feb 23, 2023 · Woodbury, Ny
K••••• A••••••• S•••••••• L•• BD affiliated
Sep 15, 2021 to Feb 3, 2023 · Henderson, Nv
S•••••• N••••••• • C••••••• I••••••••• national BD
Jul 9, 2021 to Aug 11, 2021 · Henderson, Nv
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 5, 2012 to Jul 12, 2021 · Henderson, Nv
U•• F•••••••• S••••••• I••• wirehouse
Dec 20, 1999 to Oct 15, 2012 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to V••••••••• A••••••• S•••••••
left Feb 3, 2023, registered Feb 23, 2023 (20 days) · Affiliated broker-dealer or bank to another
S•••••• N••••••• • C••••••• I••••••••• to K••••• A••••••• S•••••••• L••
left Aug 11, 2021, registered Sep 15, 2021 (35 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Jul 12, 2021, registered Jul 9, 2021 (-3 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 15, 2012, registered Oct 5, 2012 (-10 days) · Wirehouse to wirehouse

Signals

A•••• D••••••••• left K••••• A••••••• S•••••••• L•• for V••••••••• A••••••• S••••••• (registered 2023-02-23)
Feb 3, 2023 · 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