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

James Joseph Schroeder

Key Investment Services LLCBD affiliatedBrooklyn, Oh dual registrantIAPD 2990328

Feed of 09/15/2026

Also filed as Jim Schroeder

At current firm

0 y

since Apr 8, 2026

In the industry

28 y

since Feb 6, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Key Investment Services LLC BD affiliated current
since Apr 8, 2026 · Brooklyn, Oh
Huntington Financial Advisors BD affiliated
Jul 14, 2022 to Apr 13, 2026 · Cincinnati, Oh
Fidelity Personal And Workplace Advisors former
Jul 13, 2018 to Jan 10, 2022 · Boston, Ma
Strategic Advisers LLC national BD
Jan 28, 2011 to Jul 13, 2018 · Covington, Ky

Moves

a registration end followed by a registration begin elsewhere

Huntington Financial Advisors to Key Investment Services LLC
left Apr 13, 2026, registered Apr 8, 2026 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
Fidelity Personal And Workplace Advisors to Huntington Financial Advisors
left Jan 10, 2022, registered Jul 14, 2022 (185 days) · Affiliated broker-dealer or bank to another
Strategic Advisers LLC to Fidelity Personal And Workplace Advisors
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

James Joseph Schroeder left Huntington Financial Advisors for Key Investment Services Llc (registered 2026-04-08)
Apr 13, 2026 · Advisor changed firm · fact
James Joseph Schroeder left Fidelity Personal And Workplace Advisors for Huntington Financial Advisors (registered 2022-07-14)
Jan 10, 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: 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