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•••• P••••••• F•••••

C••••••• P•••••••independent RIAFisherville, Ky IA-onlyIAPD 6022015

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since May 6, 2024

In the industry

14 y

since Jun 13, 2012 (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

C••••••• P••••••• independent RIA current
since May 6, 2024 · Overland Park, Ks
S••••••••• F•••••••• P••••••• L•• independent RIA
Jul 25, 2023 to May 9, 2024 · Lehi, Ut
M•••••• BD affiliated
Jul 2, 2021 to Jul 14, 2023 · Louisville, Ky
C••••••• P••••••• independent RIA
Dec 8, 2014 to Apr 7, 2021 · Overland Park, Ks
T• A••••••••• I••••••••• M••••••••• L•• former
Aug 21, 2014 to Nov 21, 2014 · Brentwood, Tn
T• A••••••••• I••• former
Aug 21, 2014 to Nov 21, 2014 · Nashville, Tn

Moves

a registration end followed by a registration begin elsewhere

S••••••••• F•••••••• P••••••• L•• to C••••••• P•••••••
left May 9, 2024, registered May 6, 2024 (-3 days) · RIA to RIA
M•••••• to S••••••••• F•••••••• P••••••• L••
left Jul 14, 2023, registered Jul 25, 2023 (11 days) · Affiliated broker-dealer or bank to independent RIA
C••••••• P••••••• to M••••••
left Apr 7, 2021, registered Jul 2, 2021 (86 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 21, 2014, registered Aug 21, 2014 (-92 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to C••••••• P•••••••
left Nov 21, 2014, registered Dec 8, 2014 (17 days) · Other

Signals

G•••• P••••••• F••••• left S••••••••• F•••••••• P••••••• L•• for C••••••• P••••••• (registered 2024-05-06)
May 9, 2024 · Advisor changed firm · fact
G•••• P••••••• F••••• left Mariner for S••••••••• F•••••••• P••••••• L•• (registered 2023-07-25)
Jul 14, 2023 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address