DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A•••••• V•••••
Feed of 09/14/2026
Also filed as F•••••• V••••••••• S••••• V•••••
At current firm
1 y
since Mar 31, 2025
In the industry
22 y
since Jan 2, 2004 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Lathrop, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 11, 2013 to Jul 13, 2018 · Dublin, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 4, 2013 · Livermore, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 12, 2010 to Oct 1, 2012 · Livermore, Ca
- C••• B•••••••• S•••••••• I••• formerAug 10, 2009 to May 3, 2010 · Waverly, Ia
- U••• B•••••• I••••••••• I••• formerMar 25, 2009 to Aug 4, 2009 · Pleasanton, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to S•••••••• A••••••• L••left Jan 4, 2013, registered Mar 11, 2013 (66 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left May 3, 2010, registered May 12, 2010 (9 days) · Other
- U••• B•••••• I••••••••• I••• to C••• B•••••••• S•••••••• I•••left Aug 4, 2009, registered Aug 10, 2009 (6 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address