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.
Feed of 09/15/2026
Also filed as Lisa Joyce Gingerella
At current firm
7 y
since May 16, 2019
In the industry
26 y
since Dec 13, 1999 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
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
- LPL Financial LLC BD affiliated currentsince May 16, 2019 · Fort Mill, Sc
- Fort Pitt Capital Group, LLC formerApr 5, 2016 to Jan 23, 2018 · Pittsburgh, Pa
- Pwa Wealth Management formerMay 23, 2011 to Jul 15, 2014 · Greensburg, Pa
- Bny Mellon Securities Corporation otherJan 10, 2011 to Apr 4, 2011 · Pittsburgh, Pa
- LPL Financial LLC BD affiliatedJun 8, 2010 to Dec 6, 2010 · Bridgeville, Pa
- Bpu Investment Management, Inc. formerAug 10, 2006 to Mar 23, 2010 · Pittsburgh, Pa
- Pnc Wealth Management BD affiliatedJan 2, 2004 to Aug 3, 2006 · Pittsburgh, Pa
- J.J.B. Hilliard, W.L. Lyons, LLC formerJun 3, 2003 to Dec 31, 2003 · Pittsburgh, Pa
Moves
a registration end followed by a registration begin elsewhere
- Fort Pitt Capital Group, LLC to LPL Financial LLCleft Jan 23, 2018, registered May 16, 2019 (478 days) · Other
- Pwa Wealth Management to Fort Pitt Capital Group, LLCleft Jul 15, 2014, registered Apr 5, 2016 (630 days) · Other
- Bny Mellon Securities Corporation to Pwa Wealth Managementleft Apr 4, 2011, registered May 23, 2011 (49 days) · Other
- LPL Financial LLC to Bny Mellon Securities Corporationleft Dec 6, 2010, registered Jan 10, 2011 (35 days) · Other
- Bpu Investment Management, Inc. to LPL Financial LLCleft Mar 23, 2010, registered Jun 8, 2010 (77 days) · Other
- Pnc Wealth Management to Bpu Investment Management, Inc.left Aug 3, 2006, registered Aug 10, 2006 (7 days) · Other
- J.J.B. Hilliard, W.L. Lyons, LLC to Pnc Wealth Managementleft Dec 31, 2003, registered Jan 2, 2004 (2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address