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
Joshua Peter Kozel
Feed of 09/14/2026
At current firm
15 y
since Jun 27, 2011
In the industry
19 y
since Oct 19, 2006 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jun 27, 2011 · Valparaiso, In
- Lakeside Wealth Management Group, LLC formerApr 9, 2007 to Feb 10, 2015 · Chesterton, In
- First Allied Advisory Services, Inc. formerJan 3, 2007 to Dec 31, 2007 · Chesterfield, Mo
- Ffp Advisory Services Inc unclassifiedOct 20, 2006 to Jan 3, 2007 · Chesterton, In
Moves
a registration end followed by a registration begin elsewhere
- Lakeside Wealth Management Group, LLC to LPL Financial LLCleft Feb 10, 2015, registered Jun 27, 2011 (-1324 days) · Other
- First Allied Advisory Services, Inc. to Lakeside Wealth Management Group, LLCleft Dec 31, 2007, registered Apr 9, 2007 (-266 days) · Other
- Ffp Advisory Services Inc to First Allied Advisory Services, Inc.left Jan 3, 2007, registered Jan 3, 2007 (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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address