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.
Registered advisor
John Earl Klaas
Feed of 09/15/2026
Also filed as John Earl Klaas
At current firm
0 y
since Feb 6, 2026
In the industry
38 y
since Aug 3, 1988 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Gladstone Wealth Partners BD affiliated currentsince Feb 6, 2026 · Palm Beach Gardens, Fl
- UBS Financial Services Inc. wirehouseNov 16, 2007 to Jun 22, 2021 · Chicago, Il
- Morgan Stanley & Co. LLC unclassifiedApr 2, 2007 to Nov 21, 2007 · Barrington, Il
- Morgan Stanley Dw Inc. unclassifiedMar 28, 2001 to Apr 2, 2007 · Barrington, Il
Moves
a registration end followed by a registration begin elsewhere
- UBS Financial Services Inc. to Gladstone Wealth Partnersleft Jun 22, 2021, registered Feb 6, 2026 (1690 days) · Wirehouse to independent RIA
- Morgan Stanley & Co. LLC to UBS Financial Services Inc.left Nov 21, 2007, registered Nov 16, 2007 (-5 days) · Other
- Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLCleft Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address