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••••• F•••• D••••••••

C••••• I••••••••• A••••••• L••BD affiliatedAltoona, Padual registrantIAPD 2822030

Feed of 09/14/2026

At current firm

10 y

since Oct 13, 2015

In the industry

29 y

since Jan 3, 1997 (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••••• I••••••••• A••••••• L•• BD affiliated current
since Oct 13, 2015 · Altoona, Pa
S••••• F•••••••• G•••• I•• former
May 6, 2016 to May 20, 2021 · Altoona, Pa
J• P• T••••• • C•••••• C•••••• M••••••••• L•• former
Sep 23, 2011 to Dec 31, 2015 · Altoona, Pa
S•• BD affiliated
Aug 16, 2006 to Sep 27, 2011 · Altoona, Pa
S•• BD affiliated
May 27, 2004 to Dec 31, 2005 · Altoona, Pa
S•••• I••••••••• L•• unclassified
Feb 1, 2001 to Dec 31, 2004 · Altoona, Pa

Moves

a registration end followed by a registration begin elsewhere

S••••• F•••••••• G•••• I•• to no registered destination
left May 20, 2021 · Departure, no registered destination
J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••
left Dec 31, 2015, registered Oct 13, 2015 (-79 days) · Other · moved with a team
S•• to J• P• T••••• • C•••••• C•••••• M••••••••• L••
left Sep 27, 2011, registered Sep 23, 2011 (-4 days) · Other
S•••• I••••••••• L•• to S••
left Dec 31, 2004, registered May 27, 2004 (-218 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address