DFX Intelligence
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Registered advisor
V••••• S••• T•••
Feed of 09/14/2026
Also filed as V••••• S••• T••••••••• T•••
At current firm
10 y
since Jan 29, 2016
In the industry
25 y
since Jan 11, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Jan 29, 2016 · Columbus, Oh
- C••• F•••••••• S•••••••• L••• formerOct 14, 2014 to Jun 2, 2015 · Berkeley, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 28, 2011 to Nov 11, 2013 · Cupertino, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 14, 2009 · Palo Alto, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 5, 2002 to Jun 1, 2009 · Palo Alto, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to N••••••••• I••••••••• A•••••••• L••left Jun 2, 2015, registered Jan 29, 2016 (241 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••left Nov 11, 2013, registered Oct 14, 2014 (337 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 14, 2009, registered Sep 28, 2011 (653 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address