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

Carlos Robert Romero

Osaic Wealth, Inc.BD affiliatedBoca Raton, Fl dual registrantIAPD 2468255

Feed of 09/14/2026

At current firm

1 y

since Mar 3, 2025

In the industry

30 y

since Aug 9, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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 Wealth, Inc. BD affiliated current
since Mar 3, 2025 · Boca Raton, Fl
Ip Financial Advisory Services LLC independent RIA
Dec 11, 2023 to Mar 7, 2025 · Boca Raton, Fl
Next Financial Group, Inc. former
Jun 10, 2014 to Dec 12, 2023 · Houston, Tx
Wells Fargo Advisors wirehouse
Aug 13, 2012 to Jun 10, 2014 · Boca Raton, Fl
Morgan Stanley wirehouse
Jun 1, 2009 to Aug 16, 2012 · Boca Raton, Fl
Morgan Stanley & Co. LLC unclassified
Mar 5, 2008 to Jun 1, 2009 · Boca Raton, Fl
Citigroup Global Markets Inc. BD affiliated
Apr 30, 2003 to Mar 13, 2008 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

Ip Financial Advisory Services LLC to Osaic Wealth, Inc.
left Mar 7, 2025, registered Mar 3, 2025 (-4 days) · Affiliated broker-dealer or bank to another
Next Financial Group, Inc. to Ip Financial Advisory Services LLC
left Dec 12, 2023, registered Dec 11, 2023 (-1 days) · Affiliated broker-dealer or bank to another
Wells Fargo Advisors to Next Financial Group, Inc.
left Jun 10, 2014, registered Jun 10, 2014 (0 days) · Other
Morgan Stanley to Wells Fargo Advisors
left Aug 16, 2012, registered Aug 13, 2012 (-3 days) · Wirehouse to wirehouse
Morgan Stanley & Co. LLC to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Citigroup Global Markets Inc. to Morgan Stanley & Co. LLC
left Mar 13, 2008, registered Mar 5, 2008 (-8 days) · Other

Signals

Carlos Robert Romero left Ip Financial Advisory Services Llc for Osaic Wealth, Inc. (registered 2025-03-03)
Mar 7, 2025 · Advisor changed firm · fact
Carlos Robert Romero left Next Financial Group, Inc. for Ip Financial Advisory Services Llc (registered 2023-12-11)
Dec 12, 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address