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
Alec Edward Hoke
Feed of 09/15/2026
Also filed as Alec E Hoke
At current firm
5 y
since Aug 12, 2021
In the industry
32 y
since Jan 26, 1994 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Esi Financial Advisors independent RIA currentsince Aug 12, 2021 · Colchester, Vt
- Pruco Securities, LLC no RAUMApr 22, 2021 to Jul 14, 2021 · Syracuse, Ny
- First Allied Advisory Services, Inc. formerJul 17, 2012 to Mar 17, 2020 · San Diego, Ca
- 1st Discount Brokerage, Inc. independent RIAJan 11, 2011 to Jun 29, 2012 · Cazenovia, Ny
- Saxony Capital Management, LLC independent RIAApr 28, 2008 to Feb 20, 2009 · North Bay Village, Fl
- Summit Financial Group Inc formerFeb 5, 2003 to May 10, 2006 · Boca Raton, Fl
- Wells Fargo Advisors wirehouseJan 2, 2001 to Feb 18, 2003 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- Pruco Securities, LLC to Esi Financial Advisorsleft Jul 14, 2021, registered Aug 12, 2021 (29 days) · Affiliated broker-dealer or bank to another
- First Allied Advisory Services, Inc. to Pruco Securities, LLCleft Mar 17, 2020, registered Apr 22, 2021 (401 days) · Affiliated broker-dealer or bank to another
- 1st Discount Brokerage, Inc. to First Allied Advisory Services, Inc.left Jun 29, 2012, registered Jul 17, 2012 (18 days) · Other
- Saxony Capital Management, LLC to 1st Discount Brokerage, Inc.left Feb 20, 2009, registered Jan 11, 2011 (690 days) · Other
- Summit Financial Group Inc to Saxony Capital Management, LLCleft May 10, 2006, registered Apr 28, 2008 (719 days) · Other
- Wells Fargo Advisors to Summit Financial Group Incleft Feb 18, 2003, registered Feb 5, 2003 (-13 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address