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

P•••••• G••••• H•••••

C••••••• S••••••••• I•••BD affiliatedMechanicsburg, Pa dual registrantIAPD 2123083

Feed of 09/15/2026

Also filed as P•••••• G••••• H•••••

At current firm

3 y

since Apr 12, 2023

In the industry

28 y

since Feb 5, 1998 (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

C••••••• S••••••••• I••• BD affiliated current
since Apr 12, 2023 · Conshohocken, Pa
L•• F•••••••• L•• BD affiliated
May 18, 2022 to Mar 28, 2023 · Harrisburg, Pa
C••• B•••••••• S•••••••• I••• former
Oct 15, 2021 to May 18, 2022 · Harrisburg, Pa
E•••••••• A•••••••• L•• national BD
Dec 14, 2018 to Oct 18, 2021 · Mechanicsburg, Pa
S•••••••• S••••••••• BD affiliated
Oct 17, 2017 to Nov 29, 2018 · Lebanon, Pa
C••• F•••••••• S•••••••• L••• former
Jun 19, 2017 to Sep 28, 2017 · Harrisburg, Pa
P•• W••••• M••••••••• BD affiliated
Nov 14, 2013 to Jun 9, 2017 · Hershey, Pa
M•• S••••••••• I••• unclassified
Apr 27, 2012 to Oct 18, 2013 · Lemoyne, Pa
E•••••••• A•••••••• L•• national BD
Mar 27, 2007 to Apr 20, 2012 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••••• S••••••••• I•••
left Mar 28, 2023, registered Apr 12, 2023 (15 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••
left Oct 18, 2021, registered Oct 15, 2021 (-3 days) · Affiliated broker-dealer or bank to another
S•••••••• S••••••••• to E•••••••• A•••••••• L••
left Nov 29, 2018, registered Dec 14, 2018 (15 days) · Affiliated broker-dealer or bank to another
C••• F•••••••• S•••••••• L••• to S•••••••• S•••••••••
left Sep 28, 2017, registered Oct 17, 2017 (19 days) · Other
P•• W••••• M••••••••• to C••• F•••••••• S•••••••• L•••
left Jun 9, 2017, registered Jun 19, 2017 (10 days) · Other
M•• S••••••••• I••• to P•• W••••• M•••••••••
left Oct 18, 2013, registered Nov 14, 2013 (27 days) · Other
E•••••••• A•••••••• L•• to M•• S••••••••• I•••
left Apr 20, 2012, registered Apr 27, 2012 (7 days) · Other

Signals

P•••••• G••••• H••••• left L•• F•••••••• L•• for C••••••• S••••••••• I••• (registered 2023-04-12)
Mar 28, 2023 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address