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

V•••• T••••• M••••

T•••• U••••••• L••state registeredAliso Viejo, Ca IA-onlyIAPD 3269001

Certified Financial Planner

Feed of 09/15/2026

Also filed as V•••• M••••

At current firm

3 y

since Jan 1, 2023

In the industry

26 y

since Nov 30, 1999 (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

N•••••••• no RAUM current
since Apr 8, 2024 · Aliso Viejo, Ca
T•••• U••••••• L•• state registered current
since Jan 1, 2023 · Aliso Viejo, Ca
O••••• I••••••••• A••••••• L•• independent RIA
Jan 12, 2022 to Jun 1, 2022 · Miami Beach, Fl
M•• former
Mar 10, 2014 to Jul 30, 2016 · La Jolla, Ca
S•••••••• A••••••• L•• national BD
Sep 14, 2010 to Apr 1, 2014 · Torrance, Ca
S••••••• I••••••••• I••• former
Nov 30, 1999 to Dec 31, 2002 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

O••••• I••••••••• A••••••• L•• to T•••• U••••••• L••
left Jun 1, 2022, registered Jan 1, 2023 (214 days) · RIA to a state-registered adviser
M•• to O••••• I••••••••• A••••••• L••
left Jul 30, 2016, registered Jan 12, 2022 (1992 days) · Other
S•••••••• A••••••• L•• to M••
left Apr 1, 2014, registered Mar 10, 2014 (-22 days) · Affiliated broker-dealer or bank to a newly registered adviser
S••••••• I••••••••• I••• to S•••••••• A••••••• L••
left Dec 31, 2002, registered Sep 14, 2010 (2814 days) · Other

Signals

V•••• T••••• M•••• left O••••• I••••••••• A••••••• L•• for T•••• U••••••• L•• (registered 2023-01-01)
Jun 1, 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: STATE REGISTEREDderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address