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

Shaun Eck

Realta Investment Advisors, IncBD affiliatedDeer Park, Il dual registrantIAPD 5574644

Feed of 09/14/2026

Also filed as Shaun Peter Eck

At current firm

4 y

since Jul 6, 2022

In the industry

17 y

since Oct 20, 2008 (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

Registration history

IAPD current and previous registrations

Realta Investment Advisors, Inc BD affiliated current
since Jul 6, 2022 · Deer Park, Il
Kestra Private Wealth Services, LLC BD affiliated
Sep 25, 2020 to Jul 5, 2022 · Palatine, Il
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Oct 31, 2017 to Sep 24, 2020 · Northbrook, Il
Cetera Investment Advisers LLC BD affiliated
Sep 8, 2015 to Oct 30, 2017 · Rosemont, Il
LPL Financial LLC BD affiliated
Dec 10, 2013 to Sep 11, 2015 · Dundee, Il
Fifth Third Securities, Inc. BD affiliated
Jan 16, 2013 to Dec 13, 2013 · Crystal Lake, Il
LPL Financial LLC BD affiliated
Mar 17, 2011 to Jan 22, 2013 · Darien, Il
Cetera Investment Services LLC former
Aug 3, 2009 to Mar 8, 2011 · Mchenry, Il
Morgan Stanley wirehouse
Jun 1, 2009 to Jul 27, 2009 · Barrington, Il
Morgan Stanley & Co. LLC unclassified
Dec 11, 2008 to Jun 1, 2009 · Barrington, Il

Moves

a registration end followed by a registration begin elsewhere

Kestra Private Wealth Services, LLC to Realta Investment Advisors, Inc
left Jul 5, 2022, registered Jul 6, 2022 (1 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Kestra Private Wealth Services, LLC
left Sep 24, 2020, registered Sep 25, 2020 (1 days) · Wirehouse to affiliated broker-dealer or bank
Cetera Investment Advisers LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 30, 2017, registered Oct 31, 2017 (1 days) · Other · moved with a team
LPL Financial LLC to Cetera Investment Advisers LLC
left Sep 11, 2015, registered Sep 8, 2015 (-3 days) · Other
Fifth Third Securities, Inc. to LPL Financial LLC
left Dec 13, 2013, registered Dec 10, 2013 (-3 days) · Other
LPL Financial LLC to Fifth Third Securities, Inc.
left Jan 22, 2013, registered Jan 16, 2013 (-6 days) · Other
Cetera Investment Services LLC to LPL Financial LLC
left Mar 8, 2011, registered Mar 17, 2011 (9 days) · Other
Morgan Stanley to Cetera Investment Services LLC
left Jul 27, 2009, registered Aug 3, 2009 (7 days) · Other
Morgan Stanley & Co. LLC to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

Shaun Eck left Kestra Private Wealth Services, Llc for Realta Investment Advisors, Inc (registered 2022-07-06)
Jul 5, 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address