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 Edward Rosier
Feed of 09/15/2026
At current firm
2 y
since Jan 8, 2024
In the industry
32 y
since Jun 17, 1994 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Voya Financial Advisors, Inc. BD affiliated currentsince Jan 8, 2024 · Daytona Beach, Fl
- LPL Financial LLC BD affiliatedApr 9, 2018 to Nov 27, 2023 · Orange City, Fl
- Cetera Investment Advisers LLC BD affiliatedMar 23, 2017 to Feb 7, 2018 · Tallahassee, Fl
- Trust Advisory Group Ltd independent RIAFeb 28, 2017 to Apr 19, 2017 · Tallahassee, Fl
- Source Capital Group, Inc. formerOct 17, 2006 to Jul 24, 2017 · Westport, Ct
- Source Capital Management unclassifiedSep 2, 2003 to Oct 17, 2006 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Voya Financial Advisors, Inc.left Nov 27, 2023, registered Jan 8, 2024 (42 days) · Affiliated broker-dealer or bank to another
- Cetera Investment Advisers LLC to LPL Financial LLCleft Feb 7, 2018, registered Apr 9, 2018 (61 days) · Other
- Source Capital Group, Inc. to Trust Advisory Group Ltdleft Jul 24, 2017, registered Feb 28, 2017 (-146 days) · Other · moved with a team
- Trust Advisory Group Ltd to Cetera Investment Advisers LLCleft Apr 19, 2017, registered Mar 23, 2017 (-27 days) · Other
- Source Capital Management to Source Capital Group, Inc.left Oct 17, 2006, registered Oct 17, 2006 (0 days) · Other
Signals
- Mark Edward Rosier left Lpl Financial Llc for Voya Financial Advisors, Inc. (registered 2024-01-08)Nov 27, 2023 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address