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

Arthur Edward Rozema

Sanctuary Advisors, LLCBD affiliatedLouisville, Kydual registrantIAPD 2073533

Feed of 09/14/2026

Also filed as Arthur E Rozema

At current firm

1 y

since Jul 22, 2025

In the industry

36 y

since Aug 27, 1990 (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

Sanctuary Advisors, LLC BD affiliated current
since Jul 22, 2025 · Louisville, Ky
Morgan Stanley wirehouse
Apr 12, 2019 to Jun 12, 2025 · Milwaukee, Wi
J.J.B. Hilliard, W.L. Lyons, LLC former
May 21, 2018 to Apr 8, 2019 · Louisville, Ky
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Apr 17, 2015 to May 9, 2018 · Louisville, Ky
Robert W. Baird & Co. Incorporated mixed wealth
Oct 6, 2004 to Apr 7, 2015 · Milwaukee, Wi
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 18, 1998 to Oct 4, 2004 · Columbus, Oh

Moves

a registration end followed by a registration begin elsewhere

Morgan Stanley to Sanctuary Advisors, LLC
left Jun 12, 2025, registered Jul 22, 2025 (40 days) · Wirehouse to affiliated broker-dealer or bank
J.J.B. Hilliard, W.L. Lyons, LLC to Morgan Stanley
left Apr 8, 2019, registered Apr 12, 2019 (4 days) · RIA to wirehouse
Merrill Lynch, Pierce, Fenner & Smith Incorporated to J.J.B. Hilliard, W.L. Lyons, LLC
left May 9, 2018, registered May 21, 2018 (12 days) · Wirehouse to independent RIA
Robert W. Baird & Co. Incorporated to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Apr 7, 2015, registered Apr 17, 2015 (10 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Robert W. Baird & Co. Incorporated
left Oct 4, 2004, registered Oct 6, 2004 (2 days) · Other

Signals

Arthur Edward Rozema left Morgan Stanley for Sanctuary Advisors, Llc (registered 2025-07-22)
Jun 12, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address