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.
Registered advisor
Aileen F Defroda
Feed of 09/15/2026
Also filed as Aileen Fern Dimmer
At current firm
1 y
since Oct 21, 2024
In the industry
18 y
since Nov 2, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Ashton Thomas Securities, LLC independent RIA currentsince Oct 21, 2024 · Wilmington, De
- Realta Investment Advisors, Inc BD affiliatedAug 13, 2018 to Oct 2, 2024 · Wilmington, De
- Capital One Advisors, LLC formerDec 15, 2015 to Aug 9, 2018 · Wilmington, De
- Commonwealth Financial Network national BDJan 5, 2015 to Dec 9, 2015 · Wilmington, De
- Invest Financial Corporation formerMar 30, 2009 to Jan 6, 2015 · Greenville, De
Moves
a registration end followed by a registration begin elsewhere
- Realta Investment Advisors, Inc to Ashton Thomas Securities, LLCleft Oct 2, 2024, registered Oct 21, 2024 (19 days) · Affiliated broker-dealer or bank to independent RIA
- Capital One Advisors, LLC to Realta Investment Advisors, Incleft Aug 9, 2018, registered Aug 13, 2018 (4 days) · Affiliated broker-dealer or bank to independent RIA
- Commonwealth Financial Network to Capital One Advisors, LLCleft Dec 9, 2015, registered Dec 15, 2015 (6 days) · Other
- Invest Financial Corporation to Commonwealth Financial Networkleft Jan 6, 2015, registered Jan 5, 2015 (-1 days) · Other
Signals
- Aileen F Defroda left Realta Investment Advisors, Inc for Ashton Thomas Securities, Llc (registered 2024-10-21)Oct 2, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address