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
Kevin Joseph Looby
Certified Financial Planner
Feed of 09/14/2026
At current firm
4 y
since Jan 24, 2022
In the industry
29 y
since Nov 27, 1996 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Essex Financial Services, Inc. independent RIA currentsince Jan 24, 2022 · Essex, Ct
- B. Riley Wealth Advisors, Inc. BD affiliatedJan 3, 2020 to Jan 26, 2022 · Westport, Ct
- Principle Wealth independent RIAOct 31, 2017 to Jan 17, 2020 · Madison, Ct
- Essex Financial Services, Inc. independent RIAMay 4, 2016 to Oct 30, 2017 · Madison, Ct
- Strategic Advisers LLC national BDJun 12, 2002 to Apr 25, 2016 · Covington, Ky
Moves
a registration end followed by a registration begin elsewhere
- B. Riley Wealth Advisors, Inc. to Essex Financial Services, Inc.left Jan 26, 2022, registered Jan 24, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- Principle Wealth to B. Riley Wealth Advisors, Inc.left Jan 17, 2020, registered Jan 3, 2020 (-14 days) · RIA to affiliated broker-dealer or bank
- Essex Financial Services, Inc. to Principle Wealthleft Oct 30, 2017, registered Oct 31, 2017 (1 days) · Other · moved with a team
- Strategic Advisers LLC to Essex Financial Services, Inc.left Apr 25, 2016, registered May 4, 2016 (9 days) · Other
Signals
- Kevin Joseph Looby left B. Riley Wealth Advisors, Inc. for Essex Financial Services, Inc. (registered 2022-01-24)Jan 26, 2022 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address