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.
Feed of 09/15/2026
Also filed as Larry Rose
At current firm
0 y
since Apr 27, 2026
In the industry
32 y
since Nov 23, 1993 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Cwm, LLC BD affiliated currentsince Apr 27, 2026 · Omaha, Ne
- Harbor Wealth Management, LLC formerJan 3, 2017 to Apr 27, 2026 · Green Bay, Wi
- Harbor Wealth Management, LLC formerAug 16, 2010 to Dec 31, 2016 · Green Bay, Wi
- Equitable Advisors, LLC national BDOct 1, 2007 to Aug 24, 2010 · Green Bay, Wi
- Cambridge Investment Research Advisors, Inc. BD affiliatedOct 23, 2006 to Oct 8, 2007 · Shawano, Wi
- Equitable Advisors, LLC national BDJul 2, 2002 to Oct 23, 2006 · Depere, Wi
- Financial Services Of Northeast Wisconsin, Inc. state registeredAug 3, 1995 to Nov 18, 2004 · Hortonville, Wi
Moves
a registration end followed by a registration begin elsewhere
- Harbor Wealth Management, LLC to Cwm, LLCleft Apr 27, 2026, registered Apr 27, 2026 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Equitable Advisors, LLC to Harbor Wealth Management, LLCleft Aug 24, 2010, registered Aug 16, 2010 (-8 days) · Other
- Cambridge Investment Research Advisors, Inc. to Equitable Advisors, LLCleft Oct 8, 2007, registered Oct 1, 2007 (-7 days) · Other
- Equitable Advisors, LLC to Cambridge Investment Research Advisors, Inc.left Oct 23, 2006, registered Oct 23, 2006 (0 days) · Other
- Financial Services Of Northeast Wisconsin, Inc. to Equitable Advisors, LLCleft Nov 18, 2004, registered Jul 2, 2002 (-870 days) · Other
Signals
- Larry John Rose left Harbor Wealth Management, Llc for Cwm, Llc (registered 2026-04-27)Apr 27, 2026 · 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