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
Keith Richard Zavala
Feed of 09/15/2026
Also filed as Keith Richard Zavala
At current firm
3 y
since Jul 19, 2023
In the industry
18 y
since Dec 28, 2007 (earliest exam, job or registration)
Prior registered firms
6
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
- LPL Financial LLC BD affiliated currentsince Jul 19, 2023 · Encino, Ca
- Bancwest Investment Services, Inc. (Bwis) formerJan 10, 2022 to Jul 19, 2023 · Encino, Ca
- Wells Fargo Advisors wirehouseFeb 28, 2020 to Jan 26, 2022 · South Pasadena, Ca
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Nov 25, 2019 · Studio City, Ca
- Chase Investment Services Corp. formerDec 21, 2009 to Oct 1, 2012 · Studio City, Ca
- Wells Fargo Investments, LLC unclassifiedAug 12, 2008 to Nov 23, 2009 · Alhambra, Ca
- Ameriprise Financial Services, LLC national BDJan 1, 2008 to Mar 3, 2008 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Bancwest Investment Services, Inc. (Bwis) to LPL Financial LLCleft Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- Wells Fargo Advisors to Bancwest Investment Services, Inc. (Bwis)left Jan 26, 2022, registered Jan 10, 2022 (-16 days) · Wirehouse to affiliated broker-dealer or bank
- J.P. Morgan Securities LLC to Wells Fargo Advisorsleft Nov 25, 2019, registered Feb 28, 2020 (95 days) · Wirehouse to wirehouse
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Wells Fargo Investments, LLC to Chase Investment Services Corp.left Nov 23, 2009, registered Dec 21, 2009 (28 days) · Other
- Ameriprise Financial Services, LLC to Wells Fargo Investments, LLCleft Mar 3, 2008, registered Aug 12, 2008 (162 days) · Other
Signals
- Keith Richard Zavala left Wells Fargo Advisors for Bancwest Investment Services, Inc. (Bwis) (registered 2022-01-10)Jan 26, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address