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
Eric Alan Klaus
Feed of 09/14/2026
At current firm
0 y
since Jan 16, 2026
In the industry
28 y
since Apr 6, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Independent Financial Partners BD affiliated currentsince Jan 16, 2026 · Tampa, Fl
- Ameriprise Financial Services, LLC national BDJan 26, 2011 to Oct 5, 2016 · Oldsmar, Fl
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 23, 2009 to Jan 25, 2011 · Palm Harbor, Fl
- Banc Of America Investment Services, Inc. unclassifiedMar 1, 2004 to Oct 23, 2009 · Palm Harbor, Fl
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 26, 2000 to Mar 8, 2004 · Clearwater, Fl
Moves
a registration end followed by a registration begin elsewhere
- Ameriprise Financial Services, LLC to Independent Financial Partnersleft Oct 5, 2016, registered Jan 16, 2026 (3390 days) · Affiliated broker-dealer or bank to another
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Ameriprise Financial Services, LLCleft Jan 25, 2011, registered Jan 26, 2011 (1 days) · Wirehouse to affiliated broker-dealer or bank
- Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Banc Of America Investment Services, Inc.left Mar 8, 2004, registered Mar 1, 2004 (-7 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address