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
Gregory Robert Rochte
Feed of 09/14/2026
At current firm
1 y
since Feb 14, 2025
In the industry
39 y
since May 8, 1987 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- World Investment Advisors, LLC other currentsince Feb 14, 2025 · Columbus, Oh
- Ameriprise Financial Services, LLC national BDJan 15, 2021 to Feb 18, 2025 · Dublin, Oh
- Wells Fargo Advisors wirehouseFeb 11, 2009 to Jan 21, 2021 · Dublin, Oh
- Sagepoint Financial, Inc. formerMay 4, 2006 to Feb 11, 2009 · Dublin, Oh
- Preferred Capital Management unclassifiedOct 18, 2001 to Aug 16, 2006 · Dublin, Oh
- Raymond James Financial Services, Inc. unclassifiedJun 21, 2001 to May 2, 2006 · Dublin, Oh
Moves
a registration end followed by a registration begin elsewhere
- Ameriprise Financial Services, LLC to World Investment Advisors, LLCleft Feb 18, 2025, registered Feb 14, 2025 (-4 days) · Other
- Wells Fargo Advisors to Ameriprise Financial Services, LLCleft Jan 21, 2021, registered Jan 15, 2021 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- Sagepoint Financial, Inc. to Wells Fargo Advisorsleft Feb 11, 2009, registered Feb 11, 2009 (0 days) · Other
- Preferred Capital Management to Sagepoint Financial, Inc.left Aug 16, 2006, registered May 4, 2006 (-104 days) · Other
- Raymond James Financial Services, Inc. to Preferred Capital Managementleft May 2, 2006, registered Oct 18, 2001 (-1657 days) · Other
Signals
- Gregory Robert Rochte left Ameriprise Financial Services, Llc for World Investment Advisors, Llc (registered 2025-02-14)Feb 18, 2025 · 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
- Other adviserderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address