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•• E• C••••••

L•• E••••••••• L••BD affiliatedWauwatosa, Widual registrantIAPD 4912729

Feed of 09/14/2026

Also filed as Roy Eliel Carrera

At current firm

1 y

since Nov 14, 2024

In the industry

20 y

since Oct 25, 2005 (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

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Wauwatosa, Wi
P•••• S••••••••• L•• no RAUM
Sep 19, 2018 to Nov 14, 2024 · Wauwatosa, Wi
B•• P•••••••• I••• BD affiliated
Jun 15, 2017 to Aug 15, 2018 · Shorewood, Wi
E•••••••• A•••••••• L•• national BD
Mar 11, 2016 to May 24, 2017 · Milwaukee, Wi
H••••••• I••••••••• A••••••• L•• independent RIA
Jan 2, 2013 to Mar 11, 2015 · Ponte Vedra, Fl
A•••••••• F•••• M••••••••• L•• asset manager
Oct 23, 2007 to Jun 25, 2012 · Menomonee Falls, Wi

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
B•• P•••••••• I••• to P•••• S••••••••• L••
left Aug 15, 2018, registered Sep 19, 2018 (35 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to B•• P•••••••• I•••
left May 24, 2017, registered Jun 15, 2017 (22 days) · Other
H••••••• I••••••••• A••••••• L•• to E•••••••• A•••••••• L••
left Mar 11, 2015, registered Mar 11, 2016 (366 days) · RIA to affiliated broker-dealer or bank
A•••••••• F•••• M••••••••• L•• to H••••••• I••••••••• A••••••• L••
left Jun 25, 2012, registered Jan 2, 2013 (191 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address