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
Roderick Otis Green
Feed of 09/15/2026
At current firm
0 y
since Nov 25, 2025
In the industry
24 y
since Mar 25, 2002 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Cambridge Investment Research Advisors, Inc. BD affiliated currentsince Nov 25, 2025 · Acworth, Ga
- Dempsey Lord Smith, LLC formerJan 7, 2026 to Apr 3, 2026 · Rome, Ga
- Dempsey Lord Smith, LLC formerAug 24, 2020 to Dec 31, 2025 · Rome, Ga
- LPL Financial LLC BD affiliatedDec 15, 2015 to Aug 10, 2020 · Acworth, Ga
- Wells Fargo Advisors wirehouseJan 31, 2011 to Dec 16, 2015 · Atlanta, Ga
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 23, 2009 to Jan 31, 2011 · Kennesaw, Ga
- Banc Of America Investment Services, Inc. unclassifiedSep 3, 2004 to Oct 23, 2009 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- Dempsey Lord Smith, LLC to no registered destinationleft Apr 3, 2026 · Departure, no registered destination
- Dempsey Lord Smith, LLC to Cambridge Investment Research Advisors, Inc.left Dec 31, 2025, registered Nov 25, 2025 (-36 days) · corporate re-registration, not a move
- LPL Financial LLC to Dempsey Lord Smith, LLCleft Aug 10, 2020, registered Aug 24, 2020 (14 days) · Affiliated broker-dealer or bank to independent RIA
- Wells Fargo Advisors to LPL Financial LLCleft Dec 16, 2015, registered Dec 15, 2015 (-1 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Advisorsleft Jan 31, 2011, registered Jan 31, 2011 (0 days) · Wirehouse to wirehouse
- Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Signals
- Roderick Otis Green no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPDApr 3, 2026 · Advisor departure · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address