DFX Intelligence
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Registered advisor
N•••••• V••••••• E•••••••
Feed of 09/14/2026
Also filed as N•••••• V• E•••••••
At current firm
4 y
since Jul 6, 2022
In the industry
20 y
since Sep 26, 2005 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 6, 2022 · Cupertino, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 18, 2020 to May 11, 2022 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseJun 25, 2012 to Sep 4, 2020 · San Jose, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 23, 2009 to May 14, 2012 · Los Gatos, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 9, 2008 to Apr 3, 2009 · Sunnyvale, Ca
- C••••••••• I••••••••• S•••••••• I••• unclassifiedNov 29, 2007 to Sep 15, 2008 · Menlo Park, Ca
All 6 prior registrationsShow fewer
- W•••• F•••• A••••••• wirehouseFeb 1, 2007 to Nov 26, 2007 · Redwood City, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left May 11, 2022, registered Jul 6, 2022 (56 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Sep 4, 2020, registered Sep 18, 2020 (14 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left May 14, 2012, registered Jun 25, 2012 (42 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Apr 3, 2009, registered Sep 23, 2009 (173 days) · Other
- C••••••••• I••••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 15, 2008, registered Sep 9, 2008 (-6 days) · Other
All 6 movesShow fewer
- W•••• F•••• A••••••• to C••••••••• I••••••••• S•••••••• I•••left Nov 26, 2007, registered Nov 29, 2007 (3 days) · Other
Signals
- ••• LockedMay 11, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address