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

S•••••• E•••• S••••••

V••••••••• A••••••• S•••••••BD affiliatedWoodbury, Ny dual registrantIAPD 4250353

Feed of 09/15/2026

Also filed as S•••••• E•••• S••••••

At current firm

1 y

since Feb 5, 2025

In the industry

26 y

since Sep 13, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

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 5, 2025 · Enumclaw, Wa
L•• F•••••••• L•• BD affiliated
Mar 18, 2024 to Aug 1, 2024 · Auburn, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 23, 2019 to Dec 6, 2023 · Tacoma, Wa
S•••••• I••••••••• M••••••••• L•• unclassified
Dec 13, 2017 to Jul 27, 2019 · Auburn, Wa
I•• A•••• M••••••••• I•• former
Mar 6, 2001 to Jan 11, 2006 · Spokane, Wa

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to V••••••••• A••••••• S•••••••
left Aug 1, 2024, registered Feb 5, 2025 (188 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Dec 6, 2023, registered Mar 18, 2024 (103 days) · Wirehouse to affiliated broker-dealer or bank
S•••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 27, 2019, registered Aug 23, 2019 (27 days) · Other
I•• A•••• M••••••••• I•• to S•••••• I••••••••• M••••••••• L••
left Jan 11, 2006, registered Dec 13, 2017 (4354 days) · Other

Signals

S•••••• E•••• S•••••• left L•• F•••••••• L•• for V••••••••• A••••••• S••••••• (registered 2025-02-05)
Aug 1, 2024 · Advisor changed firm · fact
S•••••• E•••• S•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2024-03-18)
Dec 6, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address