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

G••••• A• V•• Z••••••

U••• B•••••• A•••••••• L••BD affiliatedColumbus, Oh dual registrantIAPD 1443279

Feed of 09/15/2026

Also filed as G••••• A• V•• Z••••••

At current firm

0 y

since Feb 13, 2026

In the industry

39 y

since Oct 29, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Seven Hills, Oh
U••• B•••••• I••••••••• I••• former
May 13, 2025 to Feb 13, 2026 · Seven Hills, Oh
P•• C•••••• A••••••• L•• other
Jun 5, 2020 to Dec 10, 2024 · Baltimore, Md
J••••• H•••••••• W••• L••••• L•• former
May 24, 2018 to Apr 11, 2019 · Louisville, Ky
F•••• T•••• S••••••••• I••• BD affiliated
Jan 5, 2015 to Feb 2, 2018 · Cleveland, Oh
W•••• F•••• A••••••• wirehouse
Mar 2, 2010 to Nov 28, 2014 · San Francisco, Ca
W•••• F•••• I••••••••• L•• unclassified
Apr 19, 2007 to Mar 3, 2010 · San Jose, Ca
C•••••• S••••• • C••• I••• national BD
Jun 3, 2005 to Jan 27, 2006 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
P•• C•••••• A••••••• L•• to U••• B•••••• I••••••••• I•••
left Dec 10, 2024, registered May 13, 2025 (154 days) · Other
J••••• H•••••••• W••• L••••• L•• to P•• C•••••• A••••••• L••
left Apr 11, 2019, registered Jun 5, 2020 (421 days) · Other
F•••• T•••• S••••••••• I••• to J••••• H•••••••• W••• L••••• L••
left Feb 2, 2018, registered May 24, 2018 (111 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••
left Nov 28, 2014, registered Jan 5, 2015 (38 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Mar 3, 2010, registered Mar 2, 2010 (-1 days) · Other
C•••••• S••••• • C••• I••• to W•••• F•••• I••••••••• L••
left Jan 27, 2006, registered Apr 19, 2007 (447 days) · Other

Signals

G••••• A• V•• Z•••••• left P•• C•••••• A••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2025-05-13)
Dec 10, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address