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
Mark Roy Pond
Feed of 09/14/2026
At current firm
7 y
since Nov 2, 2018
In the industry
40 y
since Jul 23, 1986 (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
- Osaic Wealth, Inc. BD affiliated currentsince Nov 2, 2018 · Chesapeake, Va
- Signator Investors, Inc. formerMay 5, 2017 to Nov 2, 2018 · Virginia Beach, Va
- Oppenheimer & Co. Inc. BD affiliatedMay 23, 2012 to May 12, 2017 · Virginia Beach, Va
- RBC Capital Markets, LLC national BDMar 13, 2009 to May 23, 2012 · Virginia Beach, Va
- Ferris, Baker Watts, LLC unclassifiedOct 15, 1998 to Mar 13, 2009 · Huntington, Wv
Moves
a registration end followed by a registration begin elsewhere
- Signator Investors, Inc. to Osaic Wealth, Inc.left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- Oppenheimer & Co. Inc. to Signator Investors, Inc.left May 12, 2017, registered May 5, 2017 (-7 days) · Other
- RBC Capital Markets, LLC to Oppenheimer & Co. Inc.left May 23, 2012, registered May 23, 2012 (0 days) · Other
- Ferris, Baker Watts, LLC to RBC Capital Markets, LLCleft Mar 13, 2009, registered Mar 13, 2009 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address