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

Dennis John Keyser

LPL Financial LLCBD affiliatedQuakertown, Pa dual registrantIAPD 3163950

Feed of 09/15/2026

At current firm

2 y

since Mar 6, 2024

In the industry

26 y

since Feb 15, 2000 (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

LPL Financial LLC BD affiliated current
since Mar 6, 2024 · Limerick, Pa
Thrive Capital Management, LLC independent RIA
Aug 22, 2023 to Feb 28, 2024 · Fort Washington, Pa
Osaic Institutions, Inc. BD affiliated
Oct 31, 2022 to Aug 7, 2023 · Malvern, Pa
LPL Financial LLC BD affiliated
Mar 20, 2020 to Jul 18, 2022 · Granby, Ct
Osaic Institutions, Inc. BD affiliated
Oct 2, 2018 to Mar 23, 2020 · South Windsor, Ct
M&T Securities, Inc. unclassified
Sep 6, 2017 to Oct 17, 2018 · York, Pa
Key Investment Services LLC BD affiliated
Dec 12, 2016 to Aug 14, 2017 · Exton, Pa
Osaic Institutions, Inc. BD affiliated
Mar 28, 2016 to Dec 9, 2016 · Wyomissing, Pa
LPL Financial LLC BD affiliated
Feb 13, 2012 to Apr 22, 2016 · Trexlertown, Pa

Moves

a registration end followed by a registration begin elsewhere

Thrive Capital Management, LLC to LPL Financial LLC
left Feb 28, 2024, registered Mar 6, 2024 (7 days) · RIA to affiliated broker-dealer or bank
Osaic Institutions, Inc. to Thrive Capital Management, LLC
left Aug 7, 2023, registered Aug 22, 2023 (15 days) · Affiliated broker-dealer or bank to independent RIA
LPL Financial LLC to Osaic Institutions, Inc.
left Jul 18, 2022, registered Oct 31, 2022 (105 days) · RIA to affiliated broker-dealer or bank
Osaic Institutions, Inc. to LPL Financial LLC
left Mar 23, 2020, registered Mar 20, 2020 (-3 days) · Affiliated broker-dealer or bank to another
M&T Securities, Inc. to Osaic Institutions, Inc.
left Oct 17, 2018, registered Oct 2, 2018 (-15 days) · Other
Key Investment Services LLC to M&T Securities, Inc.
left Aug 14, 2017, registered Sep 6, 2017 (23 days) · Other
Osaic Institutions, Inc. to Key Investment Services LLC
left Dec 9, 2016, registered Dec 12, 2016 (3 days) · Other
LPL Financial LLC to Osaic Institutions, Inc.
left Apr 22, 2016, registered Mar 28, 2016 (-25 days) · Other

Signals

Dennis John Keyser left Thrive Capital Management, Llc for Lpl Financial Llc (registered 2024-03-06)
Feb 28, 2024 · Advisor changed firm · fact
Dennis John Keyser left Osaic Institutions, Inc. for Thrive Capital Management, Llc (registered 2023-08-22)
Aug 7, 2023 · Advisor changed firm · fact
Dennis John Keyser left Lpl Financial Llc for Osaic Institutions, Inc. (registered 2022-10-31)
Jul 18, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address