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
Roger Gordon Abel
Feed of 09/15/2026
At current firm
8 y
since Aug 10, 2018
In the industry
24 y
since May 3, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Aug 10, 2018 · Cedar Rapids, Ia
- Cambridge Investment Research Advisors, Inc. BD affiliatedOct 1, 2012 to Sep 7, 2018 · Cedar Rapids, Ia
- Ameritas Advisory Services formerMar 6, 2012 to Oct 19, 2012 · Cedar Rapids, Ia
- Ameritas Advisory Services formerNov 20, 2008 to Sep 10, 2009 · Lincoln, Ne
- Cambridge Investment Research Advisors, Inc. BD affiliatedJun 16, 2008 to Nov 17, 2008 · Cedar Rapids, Ia
- National Planning Corporation ("Npc Of America" In Fl & Ny) formerJan 11, 2006 to Jun 16, 2008 · Cedar Rapids, Ia
Moves
a registration end followed by a registration begin elsewhere
- Cambridge Investment Research Advisors, Inc. to LPL Financial LLCleft Sep 7, 2018, registered Aug 10, 2018 (-28 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Ameritas Advisory Services to Cambridge Investment Research Advisors, Inc.left Oct 19, 2012, registered Oct 1, 2012 (-18 days) · Other
- Cambridge Investment Research Advisors, Inc. to Ameritas Advisory Servicesleft Nov 17, 2008, registered Nov 20, 2008 (3 days) · Other
- National Planning Corporation ("Npc Of America" In Fl & Ny) to Cambridge Investment Research Advisors, Inc.left Jun 16, 2008, registered Jun 16, 2008 (0 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
- 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