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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

COOLEY KEEP FALES

Advisor at JEFFERIES INVESTMENT ADVISERS LLC

NEW YORK, NY | ATLANTA, GA

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Search this name across graphsid dfx:ria:e13fd979-ffc4-bdb5-a9cf-6d84f0994934

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 27, 2004 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: JEFFERIES INVESTMENT ADVISERS LLC
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 21, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 52
Exams: S63|S66
First exam: Oct 21, 1996
First registration: Sep 27, 2004
Dual registered: yes, broker-dealer
Other names: COOLEY KEEP FALES|FALES KEEP COOLEY KEEP
IAPD individual key: 2764859

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
JEFFERIES INVESTMENT ADVISERS LLC	Mixed wealth	May 25, 2023	n/a	yes	ATLANTA, GA\|NEW YORK, NY	Current employment
LEUCADIA ASSET MANAGEMENT LLC	Asset manager	Nov 19, 2009	Aug 14, 2023	no	ATLANTA, GA\|NEW YORK, NY	Previous registration
DEUTSCHE BANK SECURITIES INC.	No RAUM reported	Oct 6, 2005	Oct 25, 2005	no	ATLANTA, GA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 5, 2005	Dec 2, 2009	no	ATLANTA, GA\|ATLANTA, GA\|ATLANTA, GA\|WEEHAWKEN, NJ	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Sep 27, 2004	Oct 13, 2005	no	ATLANTA, GA	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
LEUCADIA ASSET MANAGEMENT LLC	JEFFERIES INVESTMENT ADVISERS LLC	Aug 14, 2023	May 25, 2023	-81	Bulk transfer	RIA to new firm
UBS FINANCIAL SERVICES INC.	DEUTSCHE BANK SECURITIES INC.	Dec 2, 2009	Oct 6, 2005	-1,518	Firm change after gap	Other
DEUTSCHE BANK SECURITIES INC.	LEUCADIA ASSET MANAGEMENT LLC	Oct 25, 2005	Nov 19, 2009	1,486	Firm change after gap	Other
CREDIT SUISSE SECURITIES (USA) LLC	UBS FINANCIAL SERVICES INC.	Oct 13, 2005	Oct 5, 2005	-8	Firm change	Other

Relationships

Registered with (5)

→ JEFFERIES INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
May 25, 2023 to presentfactForm ADV
→ LEUCADIA ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 19, 2009 to Aug 14, 2023factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 5, 2005 to Dec 2, 2009factForm ADV
→ DEUTSCHE BANK SECURITIES INC.Registered adviserregistration: previous registration
Oct 6, 2005 to Oct 25, 2005factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Sep 27, 2004 to Oct 13, 2005factForm ADV

Dated events

No dated event names this entity yet.