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
John C Rogers
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as John Christopher Rogers
At current firm
3 y
since May 15, 2023
In the industry
18 y
since Nov 14, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S65, 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
- LPL Financial LLC BD affiliated currentsince Apr 24, 2026 · Peachtree City, Ga
- Wealthcare Financial Group, Inc. state registered currentsince May 15, 2023 · New York, Ny
- Esi Financial Advisors independent RIAAug 27, 2019 to Nov 15, 2022 · White Plains, Ny
- UBS Financial Services Inc. wirehouseOct 26, 2011 to Oct 26, 2012 · Jersey City, Nj
- Valic Financial Advisors, Inc. BD affiliatedJan 21, 2009 to Jul 21, 2010 · Fresno, Ca
- Waddell & Reed formerNov 15, 2007 to Jan 21, 2009 · Fresno, Ca
Moves
a registration end followed by a registration begin elsewhere
- Esi Financial Advisors to Wealthcare Financial Group, Inc.left Nov 15, 2022, registered May 15, 2023 (181 days) · Affiliated broker-dealer or bank to a state-registered adviser
- UBS Financial Services Inc. to Esi Financial Advisorsleft Oct 26, 2012, registered Aug 27, 2019 (2496 days) · Wirehouse to affiliated broker-dealer or bank
- Valic Financial Advisors, Inc. to UBS Financial Services Inc.left Jul 21, 2010, registered Oct 26, 2011 (462 days) · Other
- Waddell & Reed to Valic Financial Advisors, Inc.left Jan 21, 2009, registered Jan 21, 2009 (0 days) · Other
Signals
- John C Rogers left Esi Financial Advisors for Wealthcare Financial Group, Inc. (registered 2023-05-15)Nov 15, 2022 · 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address