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Registered advisor
M•••••• V•• D•••••
Feed of 09/15/2026
Also filed as M•••••• Joseph Von D•••••
At current firm
6 y
since Nov 21, 2019
In the industry
18 y
since Feb 4, 2008 (earliest exam, job or registration)
Prior registered firms
3
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
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Nov 21, 2019 · Greenwood Village, Co
- N••••••••• M••••• I••••••••• S••••••••• no RAUMDec 1, 2016 to May 3, 2019 · Downers Grove, Il
- W••••••• F•••••••• S•••••••• I••• formerApr 14, 2011 to Sep 16, 2013 · Warrenville, Il
- W•••••• • R••• formerFeb 4, 2008 to Jan 25, 2011 · Lisle, Il
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to E•••••• A••••••• G••••• L••left May 3, 2019, registered Nov 21, 2019 (202 days) · Other
- W••••••• F•••••••• S•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Sep 16, 2013, registered Dec 1, 2016 (1172 days) · Other
- W•••••• • R••• to W••••••• F•••••••• S•••••••• I•••left Jan 25, 2011, registered Apr 14, 2011 (79 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address