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
Roger Dale Malcolm
Feed of 09/15/2026
At current firm
2 y
since Aug 16, 2024
In the industry
29 y
since Jan 1, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Sequent Planning, LLC independent RIA currentsince Aug 16, 2024 · Omaha, Ne
- Bankers Life Advisory Services, Inc. BD affiliatedMar 22, 2019 to Jul 22, 2024 · Wililamsville, Ny
- MML Investors Services, LLC BD affiliatedMar 25, 2017 to Jan 3, 2019 · Williamsville, Ny
- Msi Financial Services, Inc. formerJan 6, 2017 to Mar 25, 2017 · Williamsville, Ny
- Mutual Of Omaha Investor Services, Inc. independent RIAOct 29, 2010 to Nov 4, 2016 · Syracuse, Ny
Moves
a registration end followed by a registration begin elsewhere
- Bankers Life Advisory Services, Inc. to Sequent Planning, LLCleft Jul 22, 2024, registered Aug 16, 2024 (25 days) · Affiliated broker-dealer or bank to independent RIA
- MML Investors Services, LLC to Bankers Life Advisory Services, Inc.left Jan 3, 2019, registered Mar 22, 2019 (78 days) · Affiliated broker-dealer or bank to another
- Msi Financial Services, Inc. to MML Investors Services, LLCleft Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- Mutual Of Omaha Investor Services, Inc. to Msi Financial Services, Inc.left Nov 4, 2016, registered Jan 6, 2017 (63 days) · Other
Signals
- Roger Dale Malcolm left Bankers Life Advisory Services, Inc. for Sequent Planning, Llc (registered 2024-08-16)Jul 22, 2024 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address