DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

John S. Battaglia

Advisor at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SCOTTSDALE, AZ | PORT MATILDA, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:92568c0e-7228-c30e-0d01-35d197b06d7b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 10, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 13, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Mar 13, 2002
First registration: Jan 10, 2007
Dual registered: yes, broker-dealer
Other names: JOHN SALVATORE BATTAGLIA|JOHN S BATTAGLIA
IAPD individual key: 1894227

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	Independent wealth	Aug 15, 2024	n/a	yes	PORT MATILDA, PA\|SCOTTSDALE, AZ	Current employment
GROVE POINT ADVISORS, LLC	Former SEC adviser	Apr 1, 2021	Aug 21, 2024	no	Port Matilda, PA\|ROCKVILLE, MD\|ROCKVILLE, MD	Previous registration
H. BECK, INC.	Former SEC adviser	Jan 3, 2017	Apr 1, 2021	no	Rockville, MD\|STATE COLLEGE, PA\|State College, PA\|Port Matilda, PA	Previous registration
ASSETMARK, INC.	Bd affiliated wealth	Sep 29, 2015	Jan 4, 2017	no	State College, PA\|CONCORD, CA\|State College, PA	Previous registration
ARIS WEALTH SERVICES INC	Former SEC adviser	Jan 10, 2007	Oct 1, 2015	no	STATE COLLEGE, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GROVE POINT ADVISORS, LLC	UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	Aug 21, 2024	Aug 15, 2024	-6	Firm change	Ibd to RIA
H. BECK, INC.	GROVE POINT ADVISORS, LLC	Apr 1, 2021	Apr 1, 2021	0	Bulk transfer	Ibd to ibd
ASSETMARK, INC.	H. BECK, INC.	Jan 4, 2017	Jan 3, 2017	-1	Firm change	Other
ARIS WEALTH SERVICES INC	ASSETMARK, INC.	Oct 1, 2015	Sep 29, 2015	-2	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
104577:109018:PA:2015-10-01	Oct 1, 2015	Sep 29, 2015	STATE COLLEGE, PA	Firm change

Relationships

Registered with (5)

→ UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERRegistered adviserregistration: current employment
Aug 15, 2024 to presentfactForm ADV
→ GROVE POINT ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 1, 2021 to Aug 21, 2024factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Jan 3, 2017 to Apr 1, 2021factForm ADV
→ ASSETMARK, INC.Registered adviserregistration: previous registration
Sep 29, 2015 to Jan 4, 2017factForm ADV
→ ARIS WEALTH SERVICES INCRegistered adviserregistration: previous registration
Jan 10, 2007 to Oct 1, 2015factForm ADV

Dated events

Occurred
Aug 21, 2024
Advisor changed firm
John S. Battaglia left Grove Point Advisors, Llc for United Planners' Financial Services Of America A Limited Partner (registered 2024-08-15)
Form ADVobserved 6 days ago