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

N••••••• V••• L•••••••

M••••• S••••••wirehouseLos Angeles, Cadual registrantIAPD 7620701

Feed of 09/14/2026

Also filed as Nick L•••••••

At current firm

1 y

since Apr 14, 2025

In the industry

22 y

since Sep 1, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••• S•••••• wirehouse current
since Apr 14, 2025 · Los Angeles, Ca
R•• C•••••• M••••••• L•• national BD
Apr 28, 2023 to Apr 8, 2025 · San Francisco, Ca
J••• M••••• P•••••• W••••• A••••••• L•• former
Feb 13, 2023 to May 19, 2023 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to M••••• S••••••
left Apr 8, 2025, registered Apr 14, 2025 (6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
J••• M••••• P•••••• W••••• A••••••• L•• to R•• C•••••• M••••••• L••
left May 19, 2023, registered Apr 28, 2023 (-21 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

N••••••• V••• L••••••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2025-04-14)
Apr 8, 2025 · Advisor changed firm · fact
N••••••• V••• L••••••• left J••• M••••• P•••••• W••••• A••••••• L•• for R•• C•••••• M••••••• L•• (registered 2023-04-28)
May 19, 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: Wirehousederived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address