DFX Intelligence
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Registered advisor
S••••• R••••• V•••••
Feed of 09/15/2026
Also filed as S••••• R• V•••••
At current firm
0 y
since Jun 26, 2026
In the industry
18 y
since Jan 28, 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
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · Walnut Creek, Ca
- M•••••• A•••••• N•••••• BD affiliatedOct 6, 2021 to Jun 26, 2026 · Walnut Creek, Ca
- M••••• S•••••• wirehouseNov 12, 2009 to Dec 23, 2010 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 29, 2008 to Oct 6, 2009 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• A•••••• N•••••• to P•••••• A•••••• G••••• L••left Jun 26, 2026, registered Jun 26, 2026 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to M•••••• A•••••• N••••••left Dec 23, 2010, registered Oct 6, 2021 (3940 days) · Wirehouse to independent RIA
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Oct 6, 2009, registered Nov 12, 2009 (37 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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