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.
Feed of 09/14/2026
At current firm
0 y
since Jan 2, 2026
In the industry
43 y
since Jun 24, 1983 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Vanguard Capital independent RIA currentsince Jan 2, 2026 · Irvine, Ca
- Vanguard Capital formerJan 20, 2010 to Dec 31, 2016 · Irvine, Ca
- Morgan Stanley wirehouseJun 1, 2009 to Feb 1, 2010 · Irvine, Ca
- Morgan Stanley & Co. LLC unclassifiedApr 2, 2007 to Jun 1, 2009 · Irvine, Ca
- Morgan Stanley Dw Inc. unclassifiedJul 26, 2000 to Apr 2, 2007 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- Vanguard Capital to Vanguard Capitalleft Dec 31, 2016, registered Jan 2, 2026 (3289 days) · channel change inside one enterprise, not a move · moved with a team
- Morgan Stanley to Vanguard Capitalleft Feb 1, 2010, registered Jan 20, 2010 (-12 days) · Other
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLCleft Apr 2, 2007, registered Apr 2, 2007 (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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address