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
Tracy L. Rosenau
Feed of 09/14/2026
Also filed as Tracy Rampata
At current firm
1 y
since Mar 31, 2025
In the industry
14 y
since May 1, 2012 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Fort Lauderdale, Fl
- Fidelity Personal And Workplace Advisors formerApr 3, 2023 to Mar 31, 2025 · Fort Lauderdale, Fl
- Prosperity Capital Advisors independent RIAJul 12, 2021 to Oct 31, 2022 · Westlake, Oh
- Thrivent Investment Management Inc. BD affiliatedJul 9, 2020 to May 28, 2021 · Camp Hill, Pa
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Prosperity Capital Advisors to Fidelity Personal And Workplace Advisorsleft Oct 31, 2022, registered Apr 3, 2023 (154 days) · RIA to affiliated broker-dealer or bank
- Thrivent Investment Management Inc. to Prosperity Capital Advisorsleft May 28, 2021, registered Jul 12, 2021 (45 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- Tracy L. Rosenau left Prosperity Capital Advisors for Fidelity Personal And Workplace Advisors (registered 2023-04-03)Oct 31, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address