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

A•••••• V••••••••

O•••• I••••••••• I•••BD affiliatedSan Mateo, Cadual registrantIAPD 5741629

Feed of 09/14/2026

At current firm

2 y

since Nov 16, 2023

In the industry

16 y

since Jan 26, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• I••••••••• I••• BD affiliated current
since Nov 16, 2023 · San Mateo, Ca
C••• F•••••••• S•••••••• L••• former
Jul 12, 2016 to Nov 15, 2023 · San Mateo, Ca
W•••• F•••• A••••••• wirehouse
Nov 5, 2014 to Mar 31, 2016 · Burlingame, Ca
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Nov 12, 2014 · San Francisco, Ca
C•••• I••••••••• S••••••• C•••• former
Feb 28, 2012 to Oct 1, 2012 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to O•••• I••••••••• I•••
left Nov 15, 2023, registered Nov 16, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
W•••• F•••• A••••••• to C••• F•••••••• S•••••••• L•••
left Mar 31, 2016, registered Jul 12, 2016 (103 days) · Other
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Nov 12, 2014, registered Nov 5, 2014 (-7 days) · Wirehouse to wirehouse
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

Signals

A•••••• V•••••••• left C••• F•••••••• S•••••••• L••• for O•••• I••••••••• I••• (registered 2023-11-16)
Nov 15, 2023 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address