DFX Intelligence
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Registered advisor
A••• Y•••••
Feed of 09/15/2026
At current firm
8 y
since May 29, 2018
In the industry
12 y
since Sep 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- V••• R••••••••• A•••••••• L•• other currentsince Jan 17, 2023 · Windsor, Ct
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince May 29, 2018 · Simi Valley, Ca
- S•••••••• A••••••• L•• national BDDec 15, 2015 to May 16, 2018 · Thousand Oaks, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to V••• F•••••••• A•••••••• I•••left May 16, 2018, registered May 29, 2018 (13 days) · Affiliated broker-dealer or bank to another
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address