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•••••• T••••• D••••••

H••• I••••••••• S•••••••• L••otherFlorence, Nj dual registrantIAPD 5520649

Feed of 09/15/2026

At current firm

2 y

since Jun 10, 2024

In the industry

18 y

since Jun 20, 2008 (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

H••• I••••••••• S•••••••• L•• other current
since Jun 10, 2024 · Florence, Nj
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Jun 3, 2024 · San Diego, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Sep 22, 2015 to Sep 7, 2023 · Jersey City, Nj
T• A••••••••• I••• former
Sep 21, 2015 to Oct 14, 2022 · Jersey City, Nj
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Sep 23, 2015 · Jersey City, Nj
C•••• I••••••••• S••••••• C•••• former
Mar 12, 2012 to Oct 1, 2012 · Jersey City, Nj

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to H••• I••••••••• S•••••••• L••
left Jun 3, 2024, registered Jun 10, 2024 (7 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Sep 22, 2015 (-2579 days) · corporate re-registration, not a move
J••• M••••• S••••••••• L•• to T• A••••••••• I•••
left Sep 23, 2015, registered Sep 21, 2015 (-2 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

Signals

G•••••• T••••• D•••••• left C•••••• S••••• • C••• I••• for H••• I••••••••• S•••••••• L•• (registered 2024-06-10)
Jun 3, 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: Other adviserderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address