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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

Kevin Gerard Kelly

Advisor at CHARLES SCHWAB & CO., INC.

Westlake, TX

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Search this name across graphsid dfx:ria:80f65466-9591-8863-cdd6-99ce80aa6fac

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 11, 2005 to Sep 14, 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: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 23, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Dec 23, 1999
First registration: Oct 11, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 2235609

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
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 24, 2023	n/a	yes	Westlake, TX	Current employment
FISHER INVESTMENTS	Independent wealth	May 27, 2021	Jul 20, 2021	no	PLANO, TX\|PLANO, TX	Previous registration
BRANDES INVESTMENT PARTNERS, LP	Other adviser	Apr 5, 2013	Dec 2, 2020	no	SAN DIEGO, CA	Previous registration
EFFICIENT MARKET ADVISORS, LLC	Former SEC adviser	Dec 8, 2010	Aug 1, 2011	no	LA JOLLA, CA	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Mar 18, 2009	Dec 3, 2010	no	SAN DIEGO, CA\|PHOENIX, AZ	Previous registration
WOLTERS, HAGAR & PRATT FINANCIAL PLANNING, INC.	n/a	Oct 11, 2005	Dec 13, 2010	no	SAN DIEGO, CA	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
FISHER INVESTMENTS	CHARLES SCHWAB & CO., INC.	Jul 20, 2021	Jan 24, 2023	553	Firm change after gap	RIA to ibd
BRANDES INVESTMENT PARTNERS, LP	FISHER INVESTMENTS	Dec 2, 2020	May 27, 2021	176	Firm change	Other
EFFICIENT MARKET ADVISORS, LLC	BRANDES INVESTMENT PARTNERS, LP	Aug 1, 2011	Apr 5, 2013	613	Firm change after gap	Other
WOLTERS, HAGAR & PRATT FINANCIAL PLANNING, INC.	SAGEPOINT FINANCIAL, INC.	Dec 13, 2010	Mar 18, 2009	-635	Firm change after gap	Other
SAGEPOINT FINANCIAL, INC.	EFFICIENT MARKET ADVISORS, LLC	Dec 3, 2010	Dec 8, 2010	5	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
107342:5393:TX:2021-07-15	Jul 20, 2021	Jan 24, 2023	PLANO, TX	Firm change after gap

Relationships

Registered with (6)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 24, 2023 to presentfactForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
May 27, 2021 to Jul 20, 2021factForm ADV
→ BRANDES INVESTMENT PARTNERS, LPRegistered adviserregistration: previous registration
Apr 5, 2013 to Dec 2, 2020factForm ADV
→ EFFICIENT MARKET ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 8, 2010 to Aug 1, 2011factForm ADV
→ WOLTERS, HAGAR & PRATT FINANCIAL PLANNING, INC.Registered adviserregistration: previous registration
Oct 11, 2005 to Dec 13, 2010factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Mar 18, 2009 to Dec 3, 2010factForm ADV

Dated events

No dated event names this entity yet.