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

Scott Rothbort

Osaic Advisory Services, LLCBD affiliatedAtlanta, Ga IA-onlyIAPD 2072153

Feed of 09/15/2026

Also filed as Scott Roger Rothbort

At current firm

2 y

since Jul 1, 2024

In the industry

34 y

since Mar 5, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Osaic Advisory Services, LLC BD affiliated current
since Jul 1, 2024 · Atlanta, Ga
Kingswood Wealth Advisors, LLC BD affiliated
Oct 29, 2021 to Jul 16, 2024 · Hendersen, Nv
Benchmark Advisory Services, LLC no RAUM
Jul 29, 2021 to Jul 13, 2022 · San Diego, Ca
Lakeview Asset Management, LLC unclassified
May 28, 2002 to Jan 20, 2022 · Millburn, Nj

Moves

a registration end followed by a registration begin elsewhere

Kingswood Wealth Advisors, LLC to Osaic Advisory Services, LLC
left Jul 16, 2024, registered Jul 1, 2024 (-15 days) · Affiliated broker-dealer or bank to another
Benchmark Advisory Services, LLC to Kingswood Wealth Advisors, LLC
left Jul 13, 2022, registered Oct 29, 2021 (-257 days) · RIA to RIA
Lakeview Asset Management, LLC to Benchmark Advisory Services, LLC
left Jan 20, 2022, registered Jul 29, 2021 (-175 days) · Other

Signals

Scott Rothbort left Kingswood Wealth Advisors, Llc for Osaic Advisory Services, Llc (registered 2024-07-01)
Jul 16, 2024 · Advisor changed firm · fact
Scott Rothbort left Benchmark Advisory Services, Llc for Kingswood Wealth Advisors, Llc (registered 2021-10-29)
Jul 13, 2022 · Advisor changed firm · fact
Scott Rothbort left Lakeview Asset Management, Llc for Benchmark Advisory Services, Llc (registered 2021-07-29)
Jan 20, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address