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

T••••• J•••• G••••••

H••• S••••••••• •••• I•••BD affiliatedBuffalo, Nydual registrantIAPD 5661753

Feed of 09/14/2026

Also filed as Tom G••••••

At current firm

2 y

since Dec 12, 2023

In the industry

17 y

since Jul 1, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H••• S••••••••• •••• I••• BD affiliated current
since Dec 12, 2023 · Buffalo, Ny
K•• I••••••••• S••••••• L•• BD affiliated
Nov 22, 2022 to Dec 6, 2023 · Brooklyn, Oh
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 18, 2022 to Nov 22, 2022 · New York, Ny
H••• S••••••••• •••• I••• BD affiliated
Jul 23, 2021 to Jul 8, 2022 · Buffalo, Ny

Moves

a registration end followed by a registration begin elsewhere

K•• I••••••••• S••••••• L•• to H••• S••••••••• •••• I•••
left Dec 6, 2023, registered Dec 12, 2023 (6 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to K•• I••••••••• S••••••• L••
left Nov 22, 2022, registered Nov 22, 2022 (0 days) · Affiliated broker-dealer or bank to another
H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••
left Jul 8, 2022, registered Aug 18, 2022 (41 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

T••••• J•••• G•••••• left K•• I••••••••• S••••••• L•• for H••• S••••••••• •••• I••• (registered 2023-12-12)
Dec 6, 2023 · Advisor changed firm · fact
T••••• J•••• G•••••• left C•••••••• G••••• M•••••• I••• for K•• I••••••••• S••••••• L•• (registered 2022-11-22)
Nov 22, 2022 · Advisor changed firm · fact
T••••• J•••• G•••••• left H••• S••••••••• •••• I••• for C•••••••• G••••• M•••••• I••• (registered 2022-08-18)
Jul 8, 2022 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address