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

Timothy Dj Roche

LPL Financial LLCBD affiliatedSan Francisco, Cadual registrantIAPD 3030220

Feed of 09/14/2026

Also filed as Timothy David Roche

At current firm

1 y

since Oct 1, 2024

In the industry

14 y

since Aug 10, 2012 (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

LPL Financial LLC BD affiliated current
since Oct 1, 2024 · San Francisco, Ca
Citigroup Global Markets Inc. BD affiliated
Jun 6, 2022 to Jun 10, 2024 · Fresno, Ca
U.S. Bancorp Investments, Inc. former
Mar 10, 2022 to Jun 2, 2022 · San Francisco, Ca
Tcfg Investment Advisors, LLC independent RIA
Feb 17, 2022 to Mar 28, 2022 · Laguna Niguel, Ca
J.P. Morgan Securities LLC wirehouse
Jan 30, 2015 to Jan 21, 2022 · Pittsburg, Ca
Wells Fargo Advisors wirehouse
Oct 23, 2014 to Jan 26, 2015 · Corte Madera, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Aug 5, 2014 to Oct 22, 2014 · Mill Valley, Ca

Moves

a registration end followed by a registration begin elsewhere

Citigroup Global Markets Inc. to LPL Financial LLC
left Jun 10, 2024, registered Oct 1, 2024 (113 days) · Affiliated broker-dealer or bank to another
U.S. Bancorp Investments, Inc. to Citigroup Global Markets Inc.
left Jun 2, 2022, registered Jun 6, 2022 (4 days) · Affiliated broker-dealer or bank to another
Tcfg Investment Advisors, LLC to U.S. Bancorp Investments, Inc.
left Mar 28, 2022, registered Mar 10, 2022 (-18 days) · RIA to affiliated broker-dealer or bank
J.P. Morgan Securities LLC to Tcfg Investment Advisors, LLC
left Jan 21, 2022, registered Feb 17, 2022 (27 days) · Wirehouse to independent RIA
Wells Fargo Advisors to J.P. Morgan Securities LLC
left Jan 26, 2015, registered Jan 30, 2015 (4 days) · Wirehouse to wirehouse
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Advisors
left Oct 22, 2014, registered Oct 23, 2014 (1 days) · Wirehouse to wirehouse

Signals

Timothy Dj Roche left Citigroup Global Markets Inc. for Lpl Financial Llc (registered 2024-10-01)
Jun 10, 2024 · Advisor changed firm · fact
Timothy Dj Roche left U.S. Bancorp Investments, Inc. for Citigroup Global Markets Inc. (registered 2022-06-06)
Jun 2, 2022 · Advisor changed firm · fact
Timothy Dj Roche left Tcfg Investment Advisors, Llc for U.S. Bancorp Investments, Inc. (registered 2022-03-10)
Mar 28, 2022 · Advisor changed firm · fact
Timothy Dj Roche left J.P. Morgan Securities Llc for Tcfg Investment Advisors, Llc (registered 2022-02-17)
Jan 21, 2022 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address