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.
Registered advisor
Alan Charles Gottlob
Feed of 09/14/2026
At current firm
8 y
since Oct 18, 2017
In the industry
41 y
since May 20, 1985 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
3
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
- Ethos Financial Group, LLC independent RIA currentsince Aug 2, 2024 · King Of Prussia, Pa
- Pine Valley Private Wealth state registered currentsince Oct 18, 2017 · Marlton, Nj
- World Advisory Services formerJul 16, 2013 to Sep 19, 2017 · Lincroft, Nj
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 9, 2011 to Jul 5, 2013 · Bala Cynwyd, Pa
- Comprehensive Programs, Inc. formerJun 16, 2011 to Aug 5, 2011 · Voorhees, Nj
- Private Consulting Group, Inc. unclassifiedMay 28, 2003 to Dec 1, 2003 · Cherry Hill, Nj
- Shingle Oak Advisors, LLC unclassifiedApr 2, 2003 to Aug 17, 2011 · Cherry Hill, Nj
- Shingle Oak Advisors, LLC unclassifiedOct 21, 2002 to Dec 31, 2002 · Cherry Hill, Nj
Moves
a registration end followed by a registration begin elsewhere
- World Advisory Services to Pine Valley Private Wealthleft Sep 19, 2017, registered Oct 18, 2017 (29 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to World Advisory Servicesleft Jul 5, 2013, registered Jul 16, 2013 (11 days) · Other
- Shingle Oak Advisors, LLC to Private Consulting Group, Inc.left Aug 17, 2011, registered May 28, 2003 (-3003 days) · Other
- Comprehensive Programs, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Aug 5, 2011, registered Aug 9, 2011 (4 days) · Other
- Private Consulting Group, Inc. to Comprehensive Programs, Inc.left Dec 1, 2003, registered Jun 16, 2011 (2754 days) · Other
Signals
No dated event on this person.
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
- STATE REGISTEREDderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address