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

Michael J Rosenberg

Ima Advisory Services, Inc.mixed wealthPasadena, Ca IA-onlyIAPD 2469664

Feed of 09/15/2026

Also filed as Michael James Rosenberg

At current firm

1 y

since May 12, 2025

In the industry

32 y

since Jul 22, 1994 (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

Ima Advisory Services, Inc. mixed wealth current
since May 12, 2025 · Pasadena, Ca
Oneamerica Securities, Inc. BD affiliated
Sep 2, 2022 to Dec 31, 2024 · Altadena, Ca
Advice And Planning Services BD affiliated
Jun 8, 2010 to Jan 18, 2022 · Pasadena, Ca
Sierra Madre Capital Management LLC unclassified
Oct 6, 2009 to May 3, 2011 · Pasadena, Ca
Comerica Securities former
May 1, 2006 to Mar 6, 2009 · Beverly Hills, Ca
U.S. Bancorp Advisors, LLC BD affiliated
Oct 28, 2003 to Feb 10, 2006 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

Oneamerica Securities, Inc. to Ima Advisory Services, Inc.
left Dec 31, 2024, registered May 12, 2025 (132 days) · Affiliated broker-dealer or bank to independent RIA
Advice And Planning Services to Oneamerica Securities, Inc.
left Jan 18, 2022, registered Sep 2, 2022 (227 days) · Affiliated broker-dealer or bank to another
Sierra Madre Capital Management LLC to Advice And Planning Services
left May 3, 2011, registered Jun 8, 2010 (-329 days) · Other
Comerica Securities to Sierra Madre Capital Management LLC
left Mar 6, 2009, registered Oct 6, 2009 (214 days) · Other
U.S. Bancorp Advisors, LLC to Comerica Securities
left Feb 10, 2006, registered May 1, 2006 (80 days) · Other

Signals

Michael J Rosenberg left Oneamerica Securities, Inc. for Ima Advisory Services, Inc. (registered 2025-05-12)
Dec 31, 2024 · Advisor changed firm · fact
Michael J Rosenberg left Advice And Planning Services for Oneamerica Securities, Inc. (registered 2022-09-02)
Jan 18, 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: Wealth manager with institutional or fund businessderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address