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•••••• M•••••

I• F•••••••• A••••••• S••••••• L••independent RIACharlotte, Nc dual registrantIAPD 5039515

Feed of 09/15/2026

Also filed as V•••••• M•••••

At current firm

1 y

since Jan 24, 2025

In the industry

20 y

since Dec 6, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I• F•••••••• A••••••• S••••••• L•• independent RIA current
since Jan 24, 2025 · Newtown, Ct
A••••••• P••••••••• A•••••••• I•• former
Feb 6, 2019 to Aug 23, 2024 · Holbrook, Ny
E•• F•••••••• A••••••• independent RIA
Jan 21, 2016 to Dec 27, 2018 · Hauppauge, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Jul 6, 2015 · Hicksville, Ny
C•••• I••••••••• S••••••• C•••• former
Jan 5, 2010 to Oct 1, 2012 · North Massapequa, Ny

Moves

a registration end followed by a registration begin elsewhere

A••••••• P••••••••• A•••••••• I•• to I• F•••••••• A••••••• S••••••• L••
left Aug 23, 2024, registered Jan 24, 2025 (154 days) · Affiliated broker-dealer or bank to another
E•• F•••••••• A••••••• to A••••••• P••••••••• A•••••••• I••
left Dec 27, 2018, registered Feb 6, 2019 (41 days) · Affiliated broker-dealer or bank to independent RIA
J••• M••••• S••••••••• L•• to E•• F•••••••• A•••••••
left Jul 6, 2015, registered Jan 21, 2016 (199 days) · Other
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

Signals

V•••••• M••••• left A••••••• P••••••••• A•••••••• I•• for I• F•••••••• A••••••• S••••••• L•• (registered 2025-01-24)
Aug 23, 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: Independent wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address