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

Roc William Willis

Oppenheimer & Co. Inc.BD affiliatedBellevue, Wa dual registrantIAPD 1110815

Feed of 09/16/2026

Also filed as Roc William Fish

At current firm

1 y

since Dec 2, 2024

In the industry

43 y

since Mar 28, 1983 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Oppenheimer & Co. Inc. BD affiliated current
since Dec 2, 2024 · Bellevue, Wa
Wedbush Securities Inc. BD affiliated
Feb 17, 2011 to Dec 15, 2024 · Newport Beach, Ca
Wells Fargo Advisors wirehouse
Jan 1, 2008 to Jan 31, 2011 · La Jolla, Ca
A. G. Edwards & Sons, Inc. unclassified
May 7, 2004 to Jan 1, 2008 · La Jolla, Ca
Morgan Stanley Dw Inc. unclassified
Aug 24, 1998 to May 20, 2004 · Palm Desert, Ca

Moves

a registration end followed by a registration begin elsewhere

Wedbush Securities Inc. to Oppenheimer & Co. Inc.
left Dec 15, 2024, registered Dec 2, 2024 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
Wells Fargo Advisors to Wedbush Securities Inc.
left Jan 31, 2011, registered Feb 17, 2011 (17 days) · Other
A. G. Edwards & Sons, Inc. to Wells Fargo Advisors
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
Morgan Stanley Dw Inc. to A. G. Edwards & Sons, Inc.
left May 20, 2004, registered May 7, 2004 (-13 days) · Other

Signals

Roc William Willis added a NV registration at Oppenheimer & Co. Inc.
Sep 15, 2026 · New state registration · fact
Roc William Willis left Wedbush Securities Inc. for Oppenheimer & Co. Inc. (registered 2024-12-02)
Dec 15, 2024 · 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: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address