DFX Intelligence
RIA Intelligence
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Registered advisor
V••••••• A••••• C••••
Feed of 09/14/2026
At current firm
7 y
since Dec 3, 2018
In the industry
16 y
since Feb 1, 2010 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- C•••••• S••••• • C••• I••• national BD currentsince Dec 3, 2018 · Phoenix, Az
- S••••• W••••• A•••••••• I••• no RAUMNov 7, 2017 to Dec 3, 2018 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Dec 3, 2018, registered Dec 3, 2018 (0 days) · channel change inside one enterprise, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address