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
Joel Robert Heffington
Feed of 09/15/2026
At current firm
11 y
since Apr 16, 2015
In the industry
25 y
since Jul 23, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Ameriprise Financial Services, LLC national BD currentsince Apr 16, 2015 · St Charles, Il
- B. C. Ziegler And Company formerAug 6, 2014 to Apr 15, 2015 · Chicago, Il
- LPL Financial LLC BD affiliatedSep 18, 2013 to Apr 23, 2014 · Bolingbrook, Il
- Firstmerit Advisors, Inc. unclassifiedNov 15, 2012 to Sep 18, 2013 · Hinsdale, Il
- Country Trust Bank unclassifiedJun 27, 2005 to Jul 27, 2007 · Winfield, Il
Moves
a registration end followed by a registration begin elsewhere
- B. C. Ziegler And Company to Ameriprise Financial Services, LLCleft Apr 15, 2015, registered Apr 16, 2015 (1 days) · Other
- LPL Financial LLC to B. C. Ziegler And Companyleft Apr 23, 2014, registered Aug 6, 2014 (105 days) · Other
- Firstmerit Advisors, Inc. to LPL Financial LLCleft Sep 18, 2013, registered Sep 18, 2013 (0 days) · corporate re-registration, not a move
- Country Trust Bank to Firstmerit Advisors, Inc.left Jul 27, 2007, registered Nov 15, 2012 (1938 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address