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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

JOHN C POLOVICK

Advisor at KEYSTONE PRIVATE WEALTH

IRVINE, CA | PALM DESERT, CA

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Search this name across graphsid dfx:ria:a60dc219-4a5a-c3ea-feed-14941197b7ae

Data as of Sep 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 28, 2014 to Sep 19, 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: KEYSTONE PRIVATE WEALTH
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: Mar 5, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 2
Exams: S66|S63
First exam: Mar 5, 2010
First registration: Jul 28, 2014
Dual registered: yes, broker-dealer
IAPD individual key: 5755205

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
HOAINVEST LLC	No RAUM reported	Sep 18, 2026	n/a	yes	IRVINE, CA\|PALM DESERT, CA	Current employment
KEYSTONE PRIVATE WEALTH	Independent wealth	Nov 2, 2022	n/a	yes	PALM DESERT, CA	Current employment
MARINER ADVISOR NETWORK	Bd affiliated wealth	Aug 3, 2020	Nov 4, 2022	no	Rancho Mirage, CA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Aug 5, 2020	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Aug 28, 2015	Jul 13, 2018	no	PALM DESERT, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jul 28, 2014	Aug 25, 2015	no	PALM DESERT, CA\|LA QUINTA, CA\|INDIO, CA\|INDIO, 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
MARINER ADVISOR NETWORK	KEYSTONE PRIVATE WEALTH	Nov 4, 2022	Nov 2, 2022	-2	Firm change	RIA to RIA
FIDELITY PERSONAL AND WORKPLACE ADVISORS	MARINER ADVISOR NETWORK	Aug 5, 2020	Aug 3, 2020	-2	Firm change	Ibd to RIA
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
J.P. MORGAN SECURITIES LLC	STRATEGIC ADVISERS LLC	Aug 25, 2015	Aug 28, 2015	3	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ KEYSTONE PRIVATE WEALTHRegistered adviserregistration: current employment
Nov 2, 2022 to presentfactForm ADV
→ MARINER ADVISOR NETWORKRegistered adviserregistration: previous registration
Aug 3, 2020 to Nov 4, 2022factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Aug 5, 2020factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Aug 28, 2015 to Jul 13, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jul 28, 2014 to Aug 25, 2015factForm ADV

Dated events

Occurred
Nov 4, 2022
Advisor changed firm
John C Polovick left Mariner Advisor Network for Keystone Private Wealth (registered 2022-11-02)
Form ADVobserved 5 days ago