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 Kaplan

Osaic Wealth, Inc.BD affiliatedBoynton Beach, Fldual registrantIAPD 2867710

Feed of 09/14/2026

Also filed as Eric Alan Kaplan

At current firm

2 y

since Feb 29, 2024

In the industry

27 y

since Mar 15, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Osaic Wealth, Inc. BD affiliated current
since Feb 29, 2024 · Boynton Beach, Fl
Wealthcare Advisory Partners LLC BD affiliated
Jan 2, 2020 to Mar 4, 2024 · West Chester, Pa
Gaines Financial Group former
Dec 17, 2014 to Jan 13, 2020 · Boca Raton, Fl
Ameriprise Financial Services, LLC national BD
Oct 30, 2008 to Dec 8, 2014 · Palm Beach Gardens, Fl
Wells Fargo Advisors wirehouse
Nov 1, 2004 to Oct 28, 2008 · Boca Raton, Fl
Charles Schwab & Co., Inc. national BD
Oct 14, 1999 to Oct 20, 2004 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

Wealthcare Advisory Partners LLC to Osaic Wealth, Inc.
left Mar 4, 2024, registered Feb 29, 2024 (-4 days) · RIA to affiliated broker-dealer or bank
Gaines Financial Group to Wealthcare Advisory Partners LLC
left Jan 13, 2020, registered Jan 2, 2020 (-11 days) · RIA to RIA · moved with a team
Ameriprise Financial Services, LLC to Gaines Financial Group
left Dec 8, 2014, registered Dec 17, 2014 (9 days) · Other
Wells Fargo Advisors to Ameriprise Financial Services, LLC
left Oct 28, 2008, registered Oct 30, 2008 (2 days) · Wirehouse to affiliated broker-dealer or bank
Charles Schwab & Co., Inc. to Wells Fargo Advisors
left Oct 20, 2004, registered Nov 1, 2004 (12 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Eric Alan Kaplan left Wealthcare Advisory Partners Llc for Osaic Wealth, Inc. (registered 2024-02-29)
Mar 4, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address