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

Keith Brian Mooney

Vestgen Advisors, LLCindependent RIAChicago, Il dual registrantIAPD 2562218

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

At current firm

1 y

since Nov 1, 2024

In the industry

31 y

since Nov 17, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Title: Founder, Wealth Advisorreportedvestgen.comfirm site, Sep 15, 2026
Designations: CFP, CEPA, CLUreportedvestgen.comas printed on the bio page, Sep 16, 2026
Founder: “Keith is a Co-founder and Wealth Advisor at VestGen – South Barrington.”reportedvestgen.comthe sentence on the bio page
Professional profile: vestgen.com/keith-mooneyreportedvestgen.comfirm site, Sep 15, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

Vestgen Advisors, LLC independent RIA current
since Nov 1, 2024 · Chicago, Il
Osaic Advisory Services, LLC BD affiliated
Aug 30, 2019 to Nov 8, 2024 · South Barrington, Il
Sequoia Wealth Management, LLC independent RIA
Dec 19, 2014 to Sep 26, 2019 · South Barrington, Il
LPL Financial LLC BD affiliated
Sep 25, 2009 to Oct 28, 2015 · South Barrington, Il
Associated Planners Investment Advisory Inc unclassified
Jan 9, 2008 to Sep 29, 2009 · South Barrington, Il
Associated Securities Corp. unclassified
Jun 28, 2006 to Jan 10, 2008 · Boston, Ma
Signator Investors, Inc. former
Oct 11, 1999 to Apr 12, 2004 · Schaumburg, Il

Moves

a registration end followed by a registration begin elsewhere

Osaic Advisory Services, LLC to Vestgen Advisors, LLC
left Nov 8, 2024, registered Nov 1, 2024 (-7 days) · Affiliated broker-dealer or bank to independent RIA
Sequoia Wealth Management, LLC to Osaic Advisory Services, LLC
left Sep 26, 2019, registered Aug 30, 2019 (-27 days) · RIA to affiliated broker-dealer or bank · moved with a team
LPL Financial LLC to Sequoia Wealth Management, LLC
left Oct 28, 2015, registered Dec 19, 2014 (-313 days) · Other · moved with a team
Associated Planners Investment Advisory Inc to LPL Financial LLC
left Sep 29, 2009, registered Sep 25, 2009 (-4 days) · Other
Associated Securities Corp. to Associated Planners Investment Advisory Inc
left Jan 10, 2008, registered Jan 9, 2008 (-1 days) · Other
Signator Investors, Inc. to Associated Securities Corp.
left Apr 12, 2004, registered Jun 28, 2006 (807 days) · Other

Signals

Keith Brian Mooney left Osaic Advisory Services, Llc for Vestgen Advisors, Llc (registered 2024-11-01)
Nov 8, 2024 · 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address