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.

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Registered advisor

C•••• C•••••• G•••••

F••••••independent RIAPittston, Pa IA-onlyIAPD 4766445

Certified Financial Planner

Feed of 09/14/2026

Also filed as C•••• G•••••

At current firm

0 y

since Mar 26, 2026

In the industry

22 y

since May 12, 2004 (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

F•••••• independent RIA current
since Mar 26, 2026 · Pittston, Pa
G••••• W••••• M••••••••• former
Jan 23, 2019 to Mar 27, 2026 · Pittston, Pa
S•••••• N••••••• • C••••••• I••••••••• national BD
Sep 25, 2009 to Jan 30, 2019 · Wilkes-Barre, Pa
U•• F•••••••• S••••••• I••• wirehouse
Mar 9, 2009 to Sep 25, 2009 · Weehawken, Nj
W•••• F•••• A••••••• wirehouse
Mar 9, 2005 to Jul 17, 2006 · Scranton, Pa

Moves

a registration end followed by a registration begin elsewhere

G••••• W••••• M••••••••• to F••••••
left Mar 27, 2026, registered Mar 26, 2026 (-1 days) · RIA to RIA · moved with a team
S•••••• N••••••• • C••••••• I••••••••• to G••••• W••••• M•••••••••
left Jan 30, 2019, registered Jan 23, 2019 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Sep 25, 2009, registered Sep 25, 2009 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••
left Jul 17, 2006, registered Mar 9, 2009 (966 days) · Wirehouse to wirehouse

Signals

C•••• C•••••• G••••• left G••••• W••••• M••••••••• for Farther (registered 2026-03-26)
Mar 27, 2026 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address