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

V•••••• C•••••• K••••

L•• F•••••••• L••BD affiliatedSanta Rosa, Ca dual registrantIAPD 6051319

Feed of 09/15/2026

Also filed as V•••••• C•••••• Suazo

At current firm

0 y

since Nov 17, 2025

In the industry

14 y

since May 30, 2012 (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 Nov 17, 2025 · Santa Rosa, Ca
G••••• S•••• W••••• M••••••••• L•• independent RIA
Jul 11, 2024 to Sep 3, 2025 · Santa Rosa, Ca
W•••• F•••• A••••••• wirehouse
Nov 13, 2018 to May 17, 2024 · Santa Rosa, Ca
J••• M••••• S••••••••• L•• wirehouse
Apr 13, 2015 to Nov 23, 2018 · Santa Rosa, Ca

Moves

a registration end followed by a registration begin elsewhere

G••••• S•••• W••••• M••••••••• L•• to L•• F•••••••• L••
left Sep 3, 2025, registered Nov 17, 2025 (75 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to G••••• S•••• W••••• M••••••••• L••
left May 17, 2024, registered Jul 11, 2024 (55 days) · Wirehouse to independent RIA
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Nov 23, 2018, registered Nov 13, 2018 (-10 days) · Wirehouse to wirehouse

Signals

V•••••• C•••••• K•••• left G••••• S•••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2025-11-17)
Sep 3, 2025 · Advisor changed firm · fact
V•••••• C•••••• K•••• left W•••• F•••• A••••••• for G••••• S•••• W••••• M••••••••• L•• (registered 2024-07-11)
May 17, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address