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.
Registered advisor
Neil Thomas Hartzog
Certified Financial Planner
Feed of 09/15/2026
Also filed as Neil Thomas Hartzog
At current firm
5 y
since Oct 8, 2020
In the industry
27 y
since Dec 16, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- Private Advisor Group, LLC BD affiliated currentsince Oct 8, 2020 · Avon, Ct
- Private Capital Group, LLC formerJun 8, 2005 to Oct 8, 2020 · West Hartford, Ct
- Voya Financial Advisors, Inc. BD affiliatedMay 5, 2003 to Jun 6, 2005 · North Haven, Ct
- Waddell & Reed formerMay 17, 1999 to May 9, 2003 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- Private Capital Group, LLC to Private Advisor Group, LLCleft Oct 8, 2020, registered Oct 8, 2020 (0 days) · RIA to affiliated broker-dealer or bank
- Voya Financial Advisors, Inc. to Private Capital Group, LLCleft Jun 6, 2005, registered Jun 8, 2005 (2 days) · Other
- Waddell & Reed to Voya Financial Advisors, Inc.left May 9, 2003, registered May 5, 2003 (-4 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address