DFX Intelligence
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Registered advisor
V••••••• Y•••
Feed of 09/14/2026
Also filed as V••••••• G••••••••• R••••••••• G•••••• R••••
At current firm
0 y
since Jan 30, 2026
In the industry
10 y
since Oct 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jan 30, 2026 · Palo Alto, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 21, 2024 to Dec 19, 2025 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 12, 2023 to Jul 30, 2024 · Los Altos, Ca
- C•••••• S••••• • C••• I••• national BDNov 19, 2021 to Nov 23, 2022 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 19, 2025, registered Jan 30, 2026 (42 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 30, 2024, registered Aug 21, 2024 (22 days) · Wirehouse to wirehouse
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Nov 23, 2022, registered May 12, 2023 (170 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedDec 19, 2025 · Advisor changed firm · fact
- ••• LockedJul 30, 2024 · Advisor changed firm · fact
- ••• LockedNov 23, 2022 · 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address