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
Kayvan Karoon
Feed of 09/14/2026
Also filed as Kevin Karoon
At current firm
2 y
since Dec 1, 2023
In the industry
35 y
since May 29, 1991 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A.G.P / Alliance Global Partners independent RIA currentsince Dec 1, 2023 · Rochelle Park, Nj
- Aegis Capital Corp. BD affiliatedJan 23, 2017 to Dec 22, 2023 · New York, Ny
- B. Riley Wealth Advisors, Inc. BD affiliatedApr 10, 2012 to Feb 17, 2017 · Paramus, Nj
- Osaic Fs, Inc. formerSep 30, 2008 to Apr 13, 2012 · Paramus, Nj
- Cetera Advisor Networks LLC formerMar 8, 2006 to Oct 3, 2008 · Paramus, Nj
Moves
a registration end followed by a registration begin elsewhere
- Aegis Capital Corp. to A.G.P / Alliance Global Partnersleft Dec 22, 2023, registered Dec 1, 2023 (-21 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B. Riley Wealth Advisors, Inc. to Aegis Capital Corp.left Feb 17, 2017, registered Jan 23, 2017 (-25 days) · Other · moved with a team
- Osaic Fs, Inc. to B. Riley Wealth Advisors, Inc.left Apr 13, 2012, registered Apr 10, 2012 (-3 days) · Other
- Cetera Advisor Networks LLC to Osaic Fs, Inc.left Oct 3, 2008, registered Sep 30, 2008 (-3 days) · Other
Signals
- Kayvan Karoon left Aegis Capital Corp. for A.G.P / Alliance Global Partners (registered 2023-12-01)Dec 22, 2023 · Advisor changed firm · fact
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address