DFX Intelligence
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Registered advisor
N••••••• C•••••• V•••••••••
Feed of 09/14/2026
Also filed as N••• V•••••••••
At current firm
11 y
since Jan 28, 2015
In the industry
22 y
since Jan 22, 2004 (earliest exam, job or registration)
Prior registered firms
2
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
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jan 28, 2015 · Indianapolis, In
- S•••••• N••••••• • C••••••• I••••••••• national BDMay 25, 2004 to Nov 2, 2005 · Indianapolis, In
- A••••••••• F•••••••• S•••••••• L•• national BDJan 22, 2004 to May 19, 2004 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to S••••• W••••• A•••••••• I•••left Nov 2, 2005, registered Jan 28, 2015 (3374 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left May 19, 2004, registered May 25, 2004 (6 days) · Affiliated broker-dealer or bank to another
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- No RAUM reportedderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address