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

V••••• S•••• W•••••••

M••••••BD affiliatedPhoenix, Az IA-onlyIAPD 4919118

Feed of 09/15/2026

Also filed as V••••• S•••• W•••••••

At current firm

4 y

since May 4, 2022

In the industry

19 y

since Dec 9, 2006 (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

M•••••• BD affiliated current
since May 4, 2022 · Phoenix, Az
E•••••• F•••••••• E•••••• independent RIA
Sep 6, 2019 to Apr 19, 2022 · Phoenix, Az
B••••••• F•••••••• P••••••• L•• former
Jan 22, 2018 to Jul 31, 2019 · Phoenix, Az
E•••••• F•••••••• E•••••• independent RIA
Sep 15, 2009 to Jan 19, 2018 · Phoenix, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 25, 2008 to Sep 3, 2009 · Dallas, Tx
V••••• A•••• M••••••••• I•• unclassified
Jan 10, 2008 to Sep 5, 2008 · Rosemont, Il
A• G• E•••••• • S•••• I••• unclassified
Apr 2, 2007 to Jan 8, 2008 · Willowbrook, Il
C••••••• I••••••••• S••••••• unclassified
Dec 11, 2006 to Apr 3, 2007 · Riverforest, Il

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to M••••••
left Apr 19, 2022, registered May 4, 2022 (15 days) · RIA to affiliated broker-dealer or bank
B••••••• F•••••••• P••••••• L•• to E•••••• F•••••••• E••••••
left Jul 31, 2019, registered Sep 6, 2019 (37 days) · RIA to RIA
E•••••• F•••••••• E•••••• to B••••••• F•••••••• P••••••• L••
left Jan 19, 2018, registered Jan 22, 2018 (3 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• F•••••••• E••••••
left Sep 3, 2009, registered Sep 15, 2009 (12 days) · Other
V••••• A•••• M••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 5, 2008, registered Sep 25, 2008 (20 days) · Other
A• G• E•••••• • S•••• I••• to V••••• A•••• M••••••••• I••
left Jan 8, 2008, registered Jan 10, 2008 (2 days) · Other
C••••••• I••••••••• S••••••• to A• G• E•••••• • S•••• I•••
left Apr 3, 2007, registered Apr 2, 2007 (-1 days) · Other

Signals

V••••• S•••• W••••••• left E•••••• F•••••••• E•••••• for Mariner (registered 2022-05-04)
Apr 19, 2022 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address