DFX Intelligence
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Registered advisor
R•••••• V••••••• B••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R•••••• V••••••• M•••••
At current firm
6 y
since Jul 16, 2020
In the industry
19 y
since Aug 6, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- T••• W•••• F•••••••• P••••••• L•• state registered currentsince Jul 16, 2020 · Granite Bay, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 28, 2017 to Jul 6, 2020 · Roseville, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 2, 2015 to Jul 3, 2017 · Roseville, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 23, 2015 · Auburn, Ca
- M••••• S•••••• • C•• L•• unclassifiedMay 7, 2008 to Jun 1, 2009 · Auburn, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 7, 2007 to Sep 10, 2007 · Roseville, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to T••• W•••• F•••••••• P••••••• L••left Jul 6, 2020, registered Jul 16, 2020 (10 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 3, 2017, registered Jun 28, 2017 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 23, 2015, registered Mar 2, 2015 (7 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to M••••• S•••••• • C•• L••left Sep 10, 2007, registered May 7, 2008 (240 days) · Other
Signals
No dated event on this person.
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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address