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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

R•••••• A•••••• R••••••••

P•••••••• S••••••••• I•••BD affiliatedDes Moines, Ia dual registrantIAPD 4195742

Feed of 09/14/2026

Also filed as Roberto A Rodriguez

At current firm

3 y

since Apr 18, 2023

In the industry

25 y

since Oct 11, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••••• S••••••••• I••• BD affiliated current
since Apr 18, 2023 · Des Moines, Ia
F••••••• P••••••• A•• W•••••••• A••••••• former
Oct 20, 2022 to Mar 16, 2023 · Windermere, Fl
N••••••••• I••••••••• A•••••••• L•• BD affiliated
Aug 29, 2018 to May 24, 2022 · Columbus, Oh
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Nov 4, 2015 to Jun 8, 2018 · Tampa, Fl
T• A••••••••• I••••••••• M••••••••• L•• former
Aug 20, 2014 to Mar 23, 2015 · Altamonte Springs, Fl
T• A••••••••• I••• former
Aug 14, 2014 to Mar 23, 2015 · Winter Park, Fl
C•••••• S••••• • C••• I••• national BD
Jan 24, 2006 to Apr 30, 2014 · Orlando, Fl
C•••••• S••••• • C••• I••• national BD
Feb 10, 2003 to Jul 6, 2005 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to P•••••••• S••••••••• I•••
left Mar 16, 2023, registered Apr 18, 2023 (33 days) · Affiliated broker-dealer or bank to another
N••••••••• I••••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left May 24, 2022, registered Oct 20, 2022 (149 days) · Affiliated broker-dealer or bank to another
T• R••• P•••• A••••••• S•••••••• I••• to N••••••••• I••••••••• A•••••••• L••
left Jun 8, 2018, registered Aug 29, 2018 (82 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••••••••• M••••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••
left Mar 23, 2015, registered Nov 4, 2015 (226 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 23, 2015, registered Aug 20, 2014 (-215 days) · channel change inside one enterprise, not a move
C•••••• S••••• • C••• I••• to T• A••••••••• I•••
left Apr 30, 2014, registered Aug 14, 2014 (106 days) · Other

Signals

R•••••• A•••••• R•••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for P•••••••• S••••••••• I••• (registered 2023-04-18)
Mar 16, 2023 · Advisor changed firm · fact
R•••••• A•••••• R•••••••• left N••••••••• I••••••••• A•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-10-20)
May 24, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address