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

R•••••• V••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedWenatchee, Wadual registrantIAPD 4891076

Feed of 09/14/2026

Also filed as Rick V••••

At current firm

2 y

since May 9, 2024

In the industry

21 y

since Feb 8, 2005 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since May 9, 2024 · Wenatchee, Wa
S•••••• N••••••• • C••••••• I••••••••• national BD
Sep 11, 2009 to May 24, 2024 · Wenatchee, Wa
U•• F•••••••• S••••••• I••• wirehouse
Aug 12, 2006 to Sep 11, 2009 · Wenatchee, Wa
P•••• S•••••• • C•• institutional
Jan 6, 2006 to Aug 12, 2006 · Wenatchee, Wa
M••••• S•••••• D• I••• unclassified
Feb 9, 2005 to Jan 4, 2006 · Tacoma, Wa

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left May 24, 2024, registered May 9, 2024 (-15 days) · Affiliated broker-dealer or bank to another
U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Sep 11, 2009, registered Sep 11, 2009 (0 days) · corporate re-registration, not a move
P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••
left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to P•••• S•••••• • C••
left Jan 4, 2006, registered Jan 6, 2006 (2 days) · Other

Signals

R•••••• V•••• left S•••••• N••••••• • C••••••• I••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-05-09)
May 24, 2024 · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address