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 Pent
Feed of 09/14/2026
Also filed as Kevin Pent
At current firm
3 y
since Dec 5, 2022
In the industry
19 y
since Sep 22, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Esi Financial Advisors independent RIA currentsince Dec 5, 2022 · Red Bank, Nj
- Osaic Wealth, Inc. BD affiliatedNov 2, 2018 to Dec 6, 2022 · Yardley, Pa
- Signator Investors, Inc. formerMar 29, 2018 to Nov 2, 2018 · Matawan, Nj
- Park Avenue Securities LLC BD affiliatedMay 6, 2010 to Apr 13, 2018 · Holmdel, Nj
- Msi Financial Services, Inc. formerJan 22, 2007 to Mar 26, 2010 · Moorestown, Nj
Moves
a registration end followed by a registration begin elsewhere
- Osaic Wealth, Inc. to Esi Financial Advisorsleft Dec 6, 2022, registered Dec 5, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- Signator Investors, Inc. to Osaic Wealth, Inc.left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- Park Avenue Securities LLC to Signator Investors, Inc.left Apr 13, 2018, registered Mar 29, 2018 (-15 days) · Affiliated broker-dealer or bank to another
- Msi Financial Services, Inc. to Park Avenue Securities LLCleft Mar 26, 2010, registered May 6, 2010 (41 days) · Other
Signals
- Kevin James Pent left Osaic Wealth, Inc. for Esi Financial Advisors (registered 2022-12-05)Dec 6, 2022 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address