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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

K•••• M•••••• J••••

O•••••• E••••• L•••independent RIANewport News, Va dual registrantIAPD 4673199

Feed of 09/14/2026

At current firm

3 y

since Mar 8, 2023

In the industry

22 y

since Oct 23, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Title: Investment Advisor Representativereportedoctobereffectltd.comfirm site, Sep 16, 2026
Designations: MBAreportedoctobereffectltd.comas printed on the bio page, Sep 16, 2026
Years, as the firm states: 25reportedoctobereffectltd.com“With 25 years in the financial industry Kevin has held several management and analysis roles with some of the country’s top firms.”
Business email: kevin.james@oeltd.coreportedoctobereffectltd.comfirm site, Sep 16, 2026
Direct business phone: 757-390-3335reportedoctobereffectltd.comfirm site, Sep 16, 2026
Professional profile: octobereffectltd.com/about-tax-advisor/kevin-jamesreportedoctobereffectltd.comfirm site, Sep 16, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

O•••••• E••••• L••• independent RIA current
since Mar 8, 2023 · Newport News, Va
O•••• F•• I••• former
Feb 9, 2012 to Feb 13, 2023 · Virginia Beach, Va
S•••• • S••••••••• L•• former
Jan 14, 2005 to Jan 10, 2006 · Richmond, Va
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 23, 2003 to Jan 7, 2004 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

O•••• F•• I••• to O•••••• E••••• L•••
left Feb 13, 2023, registered Mar 8, 2023 (23 days) · Affiliated broker-dealer or bank to independent RIA
S•••• • S••••••••• L•• to O•••• F•• I•••
left Jan 10, 2006, registered Feb 9, 2012 (2221 days) · Other
A••••••••• F•••••••• S•••••••• L•• to S•••• • S••••••••• L••
left Jan 7, 2004, registered Jan 14, 2005 (373 days) · Other

Signals

K•••• M•••••• J•••• left O•••• F•• I••• for O•••••• E••••• L••• (registered 2023-03-08)
Feb 13, 2023 · 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: Independent wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address