DFX Intelligence
RIA Intelligence
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Registered advisor
R•••••• L•••••• Z•••••••••
Feed of 09/14/2026
Also filed as Rocky Z•••••••••
At current firm
13 y
since Jan 17, 2013
In the industry
25 y
since Mar 9, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- H•••••• I••••••••• I••• independent RIA currentsince Jan 17, 2013 · Rockford, Il
- A• G• E•••••• • S•••• I••• unclassifiedApr 19, 2001 to Aug 8, 2007 · Rockford, Il
Moves
a registration end followed by a registration begin elsewhere
- A• G• E•••••• • S•••• I••• to H•••••• I••••••••• I•••left Aug 8, 2007, registered Jan 17, 2013 (1989 days) · Other
Signals
No dated event on this person.
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address