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 09/14/2026
At current firm
3 y
since Sep 13, 2023
In the industry
30 y
since Aug 2, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- Clg LLC independent RIA currentsince Sep 13, 2023 · Long Beach, Ca
- Cetera Investment Advisers LLC BD affiliatedJun 29, 2023 to Dec 31, 2023 · Torrance, Ca
- Cetera Advisor Networks LLC formerDec 8, 2017 to Jun 29, 2023 · Torrance, Ca
- Cetera Advisor Networks LLC formerNov 14, 2017 to Nov 14, 2017 · Torrance, Ca
- LPL Financial LLC BD affiliatedAug 26, 2002 to Dec 18, 2017 · Agoura Hills, Ca
- Nfp Advisor Services, LLC formerFeb 11, 2002 to Aug 28, 2002 · Encino , Ca
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Advisers LLC to Clg LLCleft Dec 31, 2023, registered Sep 13, 2023 (-109 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Cetera Advisor Networks LLC to Cetera Investment Advisers LLCleft Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
- LPL Financial LLC to Cetera Advisor Networks LLCleft Dec 18, 2017, registered Nov 14, 2017 (-34 days) · Other
- Nfp Advisor Services, LLC to LPL Financial LLCleft Aug 28, 2002, registered Aug 26, 2002 (-2 days) · Other
Signals
- Robert Harold Sowder left Cetera Investment Advisers Llc for Clg Llc (registered 2023-09-13)Dec 31, 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address