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••• N••• C•••••••••

C••••••••• P•••••••• R••••• C•••independent RIAWoodbury, Ny dual registrantIAPD 2105561

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Oct 4, 2024

In the industry

35 y

since Jul 18, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• P•••••••• R••••• C••• independent RIA current
since Oct 4, 2024 · Northwood,, Oh
W•••••• I••••••••• S••••••••• former
Nov 23, 2009 to Oct 24, 2024 · Incline Village, Nv
C••••••••• F•••••••• N•••••• national BD
Jan 4, 2005 to Jul 19, 2007 · Millbury, Oh
B••• O•• S••••••••• C••••••••• unclassified
Oct 22, 2004 to Jan 4, 2005 · Wayne, Mi
C•••••• S••••• • C••• I••• national BD
Jun 13, 2000 to Sep 20, 2004 · Oh

Moves

a registration end followed by a registration begin elsewhere

W•••••• I••••••••• S••••••••• to C••••••••• P•••••••• R••••• C•••
left Oct 24, 2024, registered Oct 4, 2024 (-20 days) · Affiliated broker-dealer or bank to independent RIA
C••••••••• F•••••••• N•••••• to W•••••• I••••••••• S•••••••••
left Jul 19, 2007, registered Nov 23, 2009 (858 days) · Other
B••• O•• S••••••••• C••••••••• to C••••••••• F•••••••• N••••••
left Jan 4, 2005, registered Jan 4, 2005 (0 days) · Other
C•••••• S••••• • C••• I••• to B••• O•• S••••••••• C•••••••••
left Sep 20, 2004, registered Oct 22, 2004 (32 days) · Other

Signals

G••• N••• C••••••••• left W•••••• I••••••••• S••••••••• for C••••••••• P•••••••• R••••• C••• (registered 2024-10-04)
Oct 24, 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: Independent wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address