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

J••••••••• L••••• V••••

O•••• W•••••• I•••BD affiliatedPeoria, Azdual registrantIAPD 4290342

Feed of 09/14/2026

Also filed as J••••••••• L••••• Obrien

At current firm

2 y

since Aug 13, 2024

In the industry

22 y

since Sep 1, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Aug 13, 2024 · Peoria, Az
C••••• I••••••••• A••••••• L•• BD affiliated
Nov 22, 2023 to Aug 9, 2024 · Peoria, Az
W••••••• F•••••••• S•••••••• I••• former
Oct 17, 2017 to Nov 21, 2023 · Peoria, Az
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Jun 1, 2012 to Oct 19, 2017 · Oceanside, Ca
N••• F•••••••• G••••• I••• former
Jun 4, 2007 to Jun 4, 2012 · Houston, Tx
L•• F•••••••• L•• BD affiliated
Feb 15, 2007 to Jun 1, 2007 · Glendale, Az

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to O•••• W•••••• I•••
left Aug 9, 2024, registered Aug 13, 2024 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
W••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Nov 21, 2023, registered Nov 22, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to W••••••• F•••••••• S•••••••• I•••
left Oct 19, 2017, registered Oct 17, 2017 (-2 days) · Other · moved with a team
N••• F•••••••• G••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Jun 4, 2012, registered Jun 1, 2012 (-3 days) · Other
L•• F•••••••• L•• to N••• F•••••••• G••••• I•••
left Jun 1, 2007, registered Jun 4, 2007 (3 days) · Other

Signals

J••••••••• L••••• V•••• left C••••• I••••••••• A••••••• L•• for O•••• W•••••• I••• (registered 2024-08-13)
Aug 9, 2024 · Advisor changed firm · fact
J••••••••• L••••• V•••• left W••••••• F•••••••• S•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-11-22)
Nov 21, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address