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
Robert Edward Lee
Feed of 09/14/2026
Also filed as Rob Lee
At current firm
6 y
since Jan 17, 2020
In the industry
31 y
since Nov 11, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Sovereign Wealth Advisors LLC independent RIA currentsince Jan 17, 2020 · Houston, Tx
- Sovereign Wealth Advisors LLC independent RIANov 15, 2017 to Dec 31, 2019 · Houston, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseDec 11, 2006 to Aug 18, 2014 · Houston, Tx
- J.P. Morgan Securities Inc. unclassifiedSep 27, 2006 to Dec 4, 2006 · Houston, Tx
- Banc One Securities Corporation unclassifiedJul 1, 1998 to Sep 27, 2006 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Sovereign Wealth Advisors LLCleft Aug 18, 2014, registered Nov 15, 2017 (1185 days) · Other
- J.P. Morgan Securities Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Dec 4, 2006, registered Dec 11, 2006 (7 days) · Other
- Banc One Securities Corporation to J.P. Morgan Securities Inc.left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address