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

Roman Feagins Reed

Arax Advisory PartnersBD affiliatedNew York, Ny dual registrantIAPD 2936933

Feed of 09/14/2026

At current firm

0 y

since Jul 20, 2026

In the industry

29 y

since Aug 14, 1997 (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

Arax Advisory Partners BD affiliated current
since Jul 20, 2026 · New York, Ny
U.S. Capital Wealth Advisors, LLC BD affiliated
Dec 3, 2025 to Jul 21, 2026 · Houston, Tx
Oppenheimer & Co. Inc. BD affiliated
Dec 7, 2018 to Dec 5, 2025 · Houston, Tx
Wells Fargo Advisors wirehouse
Nov 28, 2016 to Dec 10, 2018 · Houston, Tx
Insigneo Advisory Services, LLC mixed wealth
Apr 26, 2016 to Nov 29, 2016 · Houston, Tx
Insigneo Wealth Advisors, LLC former
Apr 13, 2015 to Nov 18, 2016 · Houston, Tx
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Apr 30, 2009 to Mar 26, 2015 · Houston, Tx
UBS International Inc. unclassified
Jun 3, 2002 to May 21, 2009 · Houston, Tx
UBS Financial Services Inc. wirehouse
Nov 2, 1999 to Jun 1, 2002 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

U.S. Capital Wealth Advisors, LLC to Arax Advisory Partners
left Jul 21, 2026, registered Jul 20, 2026 (-1 days) · corporate re-registration, not a move
Oppenheimer & Co. Inc. to U.S. Capital Wealth Advisors, LLC
left Dec 5, 2025, registered Dec 3, 2025 (-2 days) · Affiliated broker-dealer or bank to another
Wells Fargo Advisors to Oppenheimer & Co. Inc.
left Dec 10, 2018, registered Dec 7, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank
Insigneo Advisory Services, LLC to Wells Fargo Advisors
left Nov 29, 2016, registered Nov 28, 2016 (-1 days) · Other · moved with a team
Insigneo Wealth Advisors, LLC to Insigneo Advisory Services, LLC
left Nov 18, 2016, registered Apr 26, 2016 (-206 days) · Other · moved with a team
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Insigneo Wealth Advisors, LLC
left Mar 26, 2015, registered Apr 13, 2015 (18 days) · Other · moved with a team
UBS International Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left May 21, 2009, registered Apr 30, 2009 (-21 days) · Other
UBS Financial Services Inc. to UBS International Inc.
left Jun 1, 2002, registered Jun 3, 2002 (2 days) · corporate re-registration, not a move

Signals

Roman Feagins Reed left Oppenheimer & Co. Inc. for U.S. Capital Wealth Advisors, Llc (registered 2025-12-03)
Dec 5, 2025 · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address