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
Damian Christian Rothermel
Certified Financial Planner
Feed of 09/14/2026
At current firm
3 y
since Oct 20, 2022
In the industry
28 y
since Sep 11, 1998 (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
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
- Sound Income Strategies, LLC independent RIA currentsince Oct 20, 2022 · Portland, Or
- USA Financial Securities LLC independent RIAJun 28, 2012 to Oct 21, 2022 · Portland, Or
- Liberty Capital state registeredDec 10, 2010 to Jun 28, 2012 · Portland, Or
- Ameriprise Financial Services, LLC national BDOct 5, 2009 to Dec 31, 2009 · Lake Oswego, Or
- Ameriprise Advisor Services, Inc. unclassifiedJul 29, 2003 to Oct 5, 2009 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- USA Financial Securities LLC to Sound Income Strategies, LLCleft Oct 21, 2022, registered Oct 20, 2022 (-1 days) · RIA to RIA
- Liberty Capital to USA Financial Securities LLCleft Jun 28, 2012, registered Jun 28, 2012 (0 days) · Other
- Ameriprise Financial Services, LLC to Liberty Capitalleft Dec 31, 2009, registered Dec 10, 2010 (344 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Ameriprise Advisor Services, Inc. to Ameriprise Financial Services, LLCleft Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
Signals
- Damian Christian Rothermel left Usa Financial Securities Llc for Sound Income Strategies, Llc (registered 2022-10-20)Oct 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address