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

D•••• K•••• S••••

R•••••• J•••• • A••••••••• I•••national BDRogers, Ardual registrantIAPD 4416389

Feed of 09/14/2026

At current firm

1 y

since Oct 18, 2024

In the industry

25 y

since Jul 16, 2001 (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

R•••••• J•••• • A••••••••• I••• national BD current
since Oct 18, 2024 · Rogers, Ar
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Oct 16, 2024 · Fayetteville, Ar
A• G• E•••••• • S•••• I••• unclassified
Nov 21, 2006 to Jan 1, 2008 · Fayetteville, Ar
A••••• W••••• M••••••••• independent RIA
Jan 9, 2006 to Nov 20, 2006 · Fayetteville, Ar
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 28, 2005 to Jan 4, 2006 · Rogers, Ar

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
left Oct 16, 2024, registered Oct 18, 2024 (2 days) · Wirehouse to affiliated broker-dealer or bank
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
A••••• W••••• M••••••••• to A• G• E•••••• • S•••• I•••
left Nov 20, 2006, registered Nov 21, 2006 (1 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• W••••• M•••••••••
left Jan 4, 2006, registered Jan 9, 2006 (5 days) · Other

Signals

D•••• K•••• S•••• left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2024-10-18)
Oct 16, 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address