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

Joseph Robert Rossi

Nationwide Investment Advisors, LLCBD affiliatedColumbus, Ohdual registrantIAPD 2645740

Feed of 09/14/2026

Also filed as Joe Rossi

At current firm

2 y

since Apr 3, 2024

In the industry

30 y

since Jun 28, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Nationwide Investment Advisors, LLC BD affiliated current
since Apr 3, 2024 · Columbus, Oh
Charles Schwab & Co., Inc. national BD
Nov 14, 2018 to Nov 8, 2023 · Lone Tree, Co
Principal Securities, Inc. BD affiliated
Jun 24, 2015 to Jan 12, 2017 · Denver, Co
Securities America Advisors, Inc. former
May 30, 2013 to Jan 15, 2015 · Denver, Co
Zions Capital Advisors, Inc. institutional
Jan 8, 2007 to May 30, 2007 · Salt Lake City, Ut
Zions Direct, Inc. unclassified
Sep 7, 2006 to Dec 31, 2006 · Greenwood Village, Co
U.S. Bancorp Investments, Inc. former
Oct 25, 2005 to Sep 12, 2006 · Littleton, Co
First Horizon Advisors, Inc former
Aug 12, 2004 to Aug 8, 2005 · Englewood, Co
Wells Fargo Investments, LLC unclassified
Dec 4, 2003 to Jun 23, 2004 · Houston, Tx
Chase Investment Services Corp. former
Apr 10, 2002 to Dec 10, 2003 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

Charles Schwab & Co., Inc. to Nationwide Investment Advisors, LLC
left Nov 8, 2023, registered Apr 3, 2024 (147 days) · Affiliated broker-dealer or bank to another
Principal Securities, Inc. to Charles Schwab & Co., Inc.
left Jan 12, 2017, registered Nov 14, 2018 (671 days) · Other
Securities America Advisors, Inc. to Principal Securities, Inc.
left Jan 15, 2015, registered Jun 24, 2015 (160 days) · Other
Zions Capital Advisors, Inc. to Securities America Advisors, Inc.
left May 30, 2007, registered May 30, 2013 (2192 days) · Other
Zions Direct, Inc. to Zions Capital Advisors, Inc.
left Dec 31, 2006, registered Jan 8, 2007 (8 days) · Other
U.S. Bancorp Investments, Inc. to Zions Direct, Inc.
left Sep 12, 2006, registered Sep 7, 2006 (-5 days) · Other
First Horizon Advisors, Inc to U.S. Bancorp Investments, Inc.
left Aug 8, 2005, registered Oct 25, 2005 (78 days) · Other
Wells Fargo Investments, LLC to First Horizon Advisors, Inc
left Jun 23, 2004, registered Aug 12, 2004 (50 days) · Other
Chase Investment Services Corp. to Wells Fargo Investments, LLC
left Dec 10, 2003, registered Dec 4, 2003 (-6 days) · Other

Signals

Joseph Robert Rossi left Charles Schwab & Co., Inc. for Nationwide Investment Advisors, Llc (registered 2024-04-03)
Nov 8, 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