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

R••••• A•••• P•••••

C••••• I••••••••• A••••••• L••BD affiliatedGrove City, Pa dual registrantIAPD 1471882

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

At current firm

3 y

since Jun 29, 2023

In the industry

40 y

since Aug 1, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V•••• C••••••• I••• independent RIA current
since Oct 21, 2024 · Grove City, Pa
C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Grove City, Pa
S•••••••• L•••••••• A•••••••• I••• unclassified
Feb 17, 2015 to Sep 27, 2024 · Greenville, Pa
V•••••• F•••••••• G••••• I••• independent RIA
Feb 12, 2015 to Dec 31, 2016 · New Bethlehem, Pa
W••••• S••••• S••••••••• I••• former
Jul 19, 2007 to Sep 3, 2013 · New Bethlehem, Pa
W••••• S••••• A••••••• I•• unclassified
Apr 10, 2002 to Nov 2, 2006 · Greenville, Pa

Moves

a registration end followed by a registration begin elsewhere

S•••••••• L•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••
left Sep 27, 2024, registered Jun 29, 2023 (-456 days) · Other
V•••••• F•••••••• G••••• I••• to S•••••••• L•••••••• A•••••••• I•••
left Dec 31, 2016, registered Feb 17, 2015 (-683 days) · Other
W••••• S••••• S••••••••• I••• to V•••••• F•••••••• G••••• I•••
left Sep 3, 2013, registered Feb 12, 2015 (527 days) · Other
W••••• S••••• A••••••• I•• to W••••• S••••• S••••••••• I•••
left Nov 2, 2006, registered Jul 19, 2007 (259 days) · corporate re-registration, not a move

Signals

R••••• A•••• P••••• left S•••••••• L•••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Sep 27, 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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address