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

Joseph Edward Weintraub

LPL Enterprise, LLCBD affiliatedGreeley, Co dual registrantIAPD 7065925

Feed of 09/14/2026

Also filed as Joseph Edward Weintraub

At current firm

1 y

since Nov 14, 2024

In the industry

10 y

since Sep 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Enterprise, LLC BD affiliated current
since Nov 14, 2024 · Greeley, Co
Pruco Securities, LLC no RAUM
May 8, 2024 to Nov 14, 2024 · Englewood, Co
Bok Financial Private Wealth, Inc. independent RIA
Nov 7, 2023 to Feb 15, 2024 · Denver, Co
Ae Wealth Management, LLC BD affiliated
Sep 21, 2022 to Nov 7, 2023 · Highlands Ranch, Co
Transamerica Retirement Advisors, LLC BD affiliated
May 20, 2019 to Aug 2, 2022 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

Pruco Securities, LLC to LPL Enterprise, LLC
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
Bok Financial Private Wealth, Inc. to Pruco Securities, LLC
left Feb 15, 2024, registered May 8, 2024 (83 days) · RIA to affiliated broker-dealer or bank
Ae Wealth Management, LLC to Bok Financial Private Wealth, Inc.
left Nov 7, 2023, registered Nov 7, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA
Transamerica Retirement Advisors, LLC to Ae Wealth Management, LLC
left Aug 2, 2022, registered Sep 21, 2022 (50 days) · Affiliated broker-dealer or bank to another

Signals

Joseph Edward Weintraub left Bok Financial Private Wealth, Inc. for Pruco Securities, Llc (registered 2024-05-08)
Feb 15, 2024 · Advisor changed firm · fact
Joseph Edward Weintraub left Ae Wealth Management, Llc for Bok Financial Private Wealth, Inc. (registered 2023-11-07)
Nov 7, 2023 · Advisor changed firm · fact
Joseph Edward Weintraub left Transamerica Retirement Advisors, Llc for Ae Wealth Management, Llc (registered 2022-09-21)
Aug 2, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address