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
Kevin James Farrow
Feed of 09/14/2026
At current firm
1 y
since Apr 11, 2025
In the industry
21 y
since Dec 21, 2004 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Apr 11, 2025 · Sarasota, Fl
- Aegis Capital Corp. BD affiliatedJul 31, 2023 to Apr 17, 2025 · Melville, Ny
- LPL Financial LLC BD affiliatedMay 19, 2022 to Apr 24, 2023 · Bradenton, Fl
- Cuna Brokerage Services, Inc. formerNov 27, 2018 to May 24, 2022 · Bradenton, Fl
- Saxony Capital Management, LLC independent RIAJan 17, 2018 to Nov 23, 2018 · Tampa, Fl
- International Assets Investment Management, LLC BD affiliatedNov 19, 2015 to Oct 18, 2017 · Orlando, Fl
- International Assets Investment Management, LLC BD affiliatedNov 19, 2015 to Dec 31, 2015 · Maitland, Fl
- Suntrust Investment Services, Inc. formerAug 16, 2011 to Aug 21, 2015 · Orlando, Fl
- Fifth Third Securities, Inc. BD affiliatedDec 22, 2009 to Jun 10, 2011 · Altamonte Springs, Fl
- Wells Fargo Advisors wirehouseMay 15, 2007 to Sep 1, 2009 · Oviedo, Fl
Moves
a registration end followed by a registration begin elsewhere
- Aegis Capital Corp. to Cetera Investment Advisers LLCleft Apr 17, 2025, registered Apr 11, 2025 (-6 days) · Affiliated broker-dealer or bank to another
- LPL Financial LLC to Aegis Capital Corp.left Apr 24, 2023, registered Jul 31, 2023 (98 days) · Affiliated broker-dealer or bank to another
- Cuna Brokerage Services, Inc. to LPL Financial LLCleft May 24, 2022, registered May 19, 2022 (-5 days) · corporate re-registration, not a move
- Saxony Capital Management, LLC to Cuna Brokerage Services, Inc.left Nov 23, 2018, registered Nov 27, 2018 (4 days) · RIA to RIA
- International Assets Investment Management, LLC to Saxony Capital Management, LLCleft Oct 18, 2017, registered Jan 17, 2018 (91 days) · Other
- Suntrust Investment Services, Inc. to International Assets Investment Management, LLCleft Aug 21, 2015, registered Nov 19, 2015 (90 days) · Other
- Fifth Third Securities, Inc. to Suntrust Investment Services, Inc.left Jun 10, 2011, registered Aug 16, 2011 (67 days) · Other
- Wells Fargo Advisors to Fifth Third Securities, Inc.left Sep 1, 2009, registered Dec 22, 2009 (112 days) · Other
Signals
- Kevin James Farrow left Aegis Capital Corp. for Cetera Investment Advisers Llc (registered 2025-04-11)Apr 17, 2025 · Advisor changed firm · fact
- Kevin James Farrow left Lpl Financial Llc for Aegis Capital Corp. (registered 2023-07-31)Apr 24, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address