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RIA / WealthAdvisor45 years in industry

RICARDO MARTIN ROSENBERG

Advisor at SARGENT INVESTMENT GROUP

BETHESDA, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:70a824f5-c804-db84-3f75-d5ea2c294f9f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 19, 1994 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SARGENT INVESTMENT GROUP
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 5, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jun 5, 1981
First registration: Feb 19, 1994
Dual registered: no
IAPD individual key: 728493

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SARGENT INVESTMENT GROUP	Independent wealth	Aug 27, 2018	n/a	yes	BETHESDA, MD	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Aug 9, 2018	no	WASHINGTON, DC\|WASHINGTON, DC	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Feb 19, 1994	Jul 1, 2003	no	WASHINGTON, DC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	SARGENT INVESTMENT GROUP	Aug 9, 2018	Aug 27, 2018	18	Firm change	Wirehouse to RIA
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:297499:DC:2018-08-07	Aug 9, 2018	Aug 27, 2018	WASHINGTON, DC	Firm change

Relationships

Registered with (3)

→ SARGENT INVESTMENT GROUPRegistered adviserregistration: current employment
Aug 27, 2018 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Aug 9, 2018factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Feb 19, 1994 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:70a824f5-c804-db84-3f75-d5ea2c294f9f
First observed: Feb 19, 1994
Last observed: Sep 14, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RICARDO MARTIN ROSENBERG

Advisor at SARGENT INVESTMENT GROUP

BETHESDA, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:70a824f5-c804-db84-3f75-d5ea2c294f9f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:32 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

SARGENT INVESTMENT GROUP

Independent wealth

Aug 27, 2018

n/a

yes

BETHESDA, MD

Current employment

WELLS FARGO ADVISORS

Wirehouse

Jul 1, 2003

Aug 9, 2018

WASHINGTON, DC|WASHINGTON, DC

Previous registration

PRUDENTIAL EQUITY GROUP, LLC

n/a

Feb 19, 1994

Jul 1, 2003

WASHINGTON, DC

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

WELLS FARGO ADVISORS

SARGENT INVESTMENT GROUP

Aug 9, 2018

Aug 27, 2018

Firm change

Wirehouse to RIA

PRUDENTIAL EQUITY GROUP, LLC

WELLS FARGO ADVISORS

Jul 1, 2003

Bulk transfer

Other

Team

Left

Joined

From

Kind

19616:297499:DC:2018-08-07

Aug 9, 2018

Aug 27, 2018

WASHINGTON, DC

Firm change