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

S•••• V•••••• C•••

L•• F•••••••• L••BD affiliatedAnaheim, Cadual registrantIAPD 5404945

Certified Financial Planner

Feed of 09/14/2026

Also filed as Jonathan V•••••• S•••• C•••

At current firm

1 y

since Dec 20, 2024

In the industry

18 y

since Oct 26, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Dec 20, 2024 · Anaheim, Ca
S••••• W••••• A•••••••• I••• no RAUM
Mar 27, 2024 to Jan 2, 2025 · Newport Beach, Ca
O••••••• F•••••••• I••• asset manager
Sep 22, 2023 to Mar 28, 2024 · Irvine, Ca
O••••••• F•••••••• I••• asset manager
Oct 14, 2021 to Aug 11, 2022 · Irvine, Ca
W•••• F•••• A••••••• wirehouse
Nov 19, 2020 to Oct 18, 2021 · Irvine, Ca
R•• S••••••••• I••• BD affiliated
Aug 24, 2018 to Nov 24, 2020 · Irvine, Ca
B••••••• I••••••••• S•••••••• I••• ••••• former
Feb 8, 2016 to Aug 22, 2018 · Brea, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Feb 2, 2016 · San Clemente, Ca
W•••• F•••• I••••••••• L•• unclassified
Oct 29, 2007 to Jan 3, 2011 · Ladera Ranch, Ca

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• A•••••••• I••• to L•• F•••••••• L••
left Jan 2, 2025, registered Dec 20, 2024 (-13 days) · Other
O••••••• F•••••••• I••• to S••••• W••••• A•••••••• I•••
left Mar 28, 2024, registered Mar 27, 2024 (-1 days) · Other
W•••• F•••• A••••••• to O••••••• F•••••••• I•••
left Oct 18, 2021, registered Oct 14, 2021 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
R•• S••••••••• I••• to W•••• F•••• A•••••••
left Nov 24, 2020, registered Nov 19, 2020 (-5 days) · RIA to wirehouse
B••••••• I••••••••• S•••••••• I••• ••••• to R•• S••••••••• I•••
left Aug 22, 2018, registered Aug 24, 2018 (2 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••
left Feb 2, 2016, registered Feb 8, 2016 (6 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

S•••• V•••••• C••• left S••••• W••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-12-20)
Jan 2, 2025 · Advisor changed firm · fact
S•••• V•••••• C••• left O••••••• F•••••••• I••• for S••••• W••••• A•••••••• I••• (registered 2024-03-27)
Mar 28, 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: 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