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 Patrick Roop
Feed of 09/14/2026
Also filed as Joepat Roop
At current firm
4 y
since Mar 2, 2022
In the industry
30 y
since Aug 9, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Coppell Advisory Solutions LLC independent RIA currentsince Mar 2, 2022 · Belmont, Nc
- Dempsey Lord Smith, LLC formerOct 18, 2019 to Sep 21, 2021 · Belmont, Nc
- Kalos Management formerApr 2, 2009 to Jul 22, 2019 · Ponte Vedra Beach, Fl
- Wells Fargo Advisors wirehouseMay 23, 2008 to Apr 3, 2009 · Charlotte, Nc
- Banc Of America Investment Services, Inc. unclassifiedDec 10, 2004 to May 28, 2008 · Charlotte, Nc
- Legg Mason Wood Walker, Incorporated unclassifiedDec 31, 2001 to Dec 15, 2004 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- Dempsey Lord Smith, LLC to Coppell Advisory Solutions LLCleft Sep 21, 2021, registered Mar 2, 2022 (162 days) · RIA to RIA
- Kalos Management to Dempsey Lord Smith, LLCleft Jul 22, 2019, registered Oct 18, 2019 (88 days) · Affiliated broker-dealer or bank to independent RIA
- Wells Fargo Advisors to Kalos Managementleft Apr 3, 2009, registered Apr 2, 2009 (-1 days) · Other
- Banc Of America Investment Services, Inc. to Wells Fargo Advisorsleft May 28, 2008, registered May 23, 2008 (-5 days) · Other
- Legg Mason Wood Walker, Incorporated to Banc Of America Investment Services, Inc.left Dec 15, 2004, registered Dec 10, 2004 (-5 days) · Other
Signals
No dated event on this person.
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