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
Andrew David Kleis
Feed of 09/14/2026
At current firm
14 y
since Sep 6, 2012
In the industry
24 y
since Mar 27, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Arete Wealth Advisors, LLC BD affiliated currentsince Sep 6, 2012 · West Des Moines, Ia
- Commerce Wealth Advisers, LLC formerApr 19, 2012 to Dec 31, 2012 · Johnston, Ia
- Dewaay Capital Management formerFeb 20, 2006 to Dec 31, 2012 · West Des Moines, Ia
- UBS Financial Services Inc. wirehouseMar 28, 2002 to Jul 21, 2003 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- Dewaay Capital Management to Commerce Wealth Advisers, LLCleft Dec 31, 2012, registered Apr 19, 2012 (-256 days) · Other
- Commerce Wealth Advisers, LLC to Arete Wealth Advisors, LLCleft Dec 31, 2012, registered Sep 6, 2012 (-116 days) · Other
- UBS Financial Services Inc. to Dewaay Capital Managementleft Jul 21, 2003, registered Feb 20, 2006 (945 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address