DFX Intelligence

Data Factory

RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)30 years in industry

JOHN EDWARD MORIARTY

Advisor at TRANSCE3ND LLC

BUDA, TX | KIRKWOOD, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:73f83f9b-a0da-4e08-d872-524455972d8a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Dec 5, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TRANSCE3ND LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 23, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S65|S63
First exam: May 23, 1996
First registration: Dec 5, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2720704

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TRANSCE3ND LLC	Independent wealth	Oct 31, 2022	n/a	yes	KIRKWOOD, MO\|BUDA, TX	Current employment
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Jul 29, 2022	Feb 2, 2023	no	TOPEKA, KS\|Kirkwood, MO	Previous registration
TRANSCE3ND LLC	Independent wealth	Jul 1, 2022	Jul 13, 2022	no	BUDA, TX	Previous registration
KALOS MANAGEMENT	Former SEC adviser	Jul 7, 2017	Aug 1, 2022	no	Sunset Hills, MO\|PONTE VEDRA BEACH, FL	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Oct 22, 2007	Jul 12, 2017	no	PLANO, TX\|WILDWOOD, MO\|KIRKSVILLE, MO\|ST. LOUIS, MO\|El Segundo, CA\|CRYSTAL CITY, MO\|SUNSET HILLS, MO\|FENTON, MO\|HIGH RIDGE, MO\|WILDWOOD, MO\|EUREKA, MO\|SCOTTSDALE, AZ	Previous registration
HEARTLAND FINANCIAL ADVISORS GROUP, INC.	n/a	May 24, 2004	Dec 31, 2004	no	SUNSET HILLS, MO	Previous registration
AMERICAN GENERAL SECURITIES INCORPORATED	n/a	Dec 5, 2002	Oct 23, 2007	no	FESTUS, MO\|FESTUS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AE WEALTH MANAGEMENT, LLC	TRANSCE3ND LLC	Feb 2, 2023	Oct 31, 2022	-94	Firm change after gap	Ibd to RIA
KALOS MANAGEMENT	TRANSCE3ND LLC	Aug 1, 2022	Jul 1, 2022	-31	Firm change after gap	Ibd to RIA
TRANSCE3ND LLC	AE WEALTH MANAGEMENT, LLC	Jul 13, 2022	Jul 29, 2022	16	Firm change	RIA to ibd
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	KALOS MANAGEMENT	Jul 12, 2017	Jul 7, 2017	-5	Firm change	Other
AMERICAN GENERAL SECURITIES INCORPORATED	HEARTLAND FINANCIAL ADVISORS GROUP, INC.	Oct 23, 2007	May 24, 2004	-1,247	Firm change after gap	Other
HEARTLAND FINANCIAL ADVISORS GROUP, INC.	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Dec 31, 2004	Oct 22, 2007	1,025	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
133025:317745:FL:2022-08-01	Aug 1, 2022	Jul 1, 2022	PONTE VEDRA BEACH, FL	Firm change after gap
317745:282580:TX:2022-07-13	Jul 13, 2022	Jul 29, 2022	BUDA, TX	Firm change

Relationships

Registered with (6)

→ TRANSCE3ND LLCRegistered adviserregistration: previous registration
Jul 1, 2022 to Jul 13, 2022factForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 29, 2022 to Feb 2, 2023factForm ADV
→ KALOS MANAGEMENTRegistered adviserregistration: previous registration
Jul 7, 2017 to Aug 1, 2022factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Oct 22, 2007 to Jul 12, 2017factForm ADV
→ AMERICAN GENERAL SECURITIES INCORPORATEDRegistered adviserregistration: previous registration
Dec 5, 2002 to Oct 23, 2007factForm ADV
→ HEARTLAND FINANCIAL ADVISORS GROUP, INC.Registered adviserregistration: previous registration
May 24, 2004 to Dec 31, 2004factForm ADV

Dated events

Occurred
Feb 2, 2023
Advisor changed firm
John Edward Moriarty left Ae Wealth Management, Llc for Transce3Nd Llc (registered 2022-10-31)
Form ADVobserved 6 days ago
Occurred
Aug 1, 2022
Advisor changed firm
John Edward Moriarty left Kalos Management for Transce3Nd Llc (registered 2022-07-01)
Form ADVobserved 6 days ago
Occurred
Jul 13, 2022
Advisor changed firm
John Edward Moriarty left Transce3Nd Llc for Ae Wealth Management, Llc (registered 2022-07-29)
Form ADVobserved 6 days ago