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
Jeffrey A Kocis
Feed of 09/15/2026
At current firm
10 y
since Dec 21, 2015
In the industry
24 y
since Apr 2, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
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
- LPL Financial LLC BD affiliated currentsince May 9, 2019 · Galena, Il
- Iht Wealth Management LLC BD affiliated currentsince Dec 21, 2015 · Oakbrook Terrace, Il
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 23, 2009 to Dec 22, 2015 · Franklin Park, Il
- Banc Of America Investment Services, Inc. unclassifiedOct 24, 2008 to Oct 23, 2009 · Franklin Park, Il
- Lasalle Financial Services, Inc. unclassifiedApr 3, 2002 to Oct 24, 2008 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Iht Wealth Management LLCleft Dec 22, 2015, registered Dec 21, 2015 (-1 days) · Other · moved with a team
- Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- Lasalle Financial Services, Inc. to Banc Of America Investment Services, Inc.left Oct 24, 2008, registered Oct 24, 2008 (0 days) · corporate re-registration, not a move
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