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
Max Johann Rooney
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
3 y
since Jun 8, 2023
In the industry
17 y
since Jan 2, 2009 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 Jun 8, 2023 · Burlington, Vt
- People'S United Advisors, Inc. formerJan 5, 2023 to Nov 15, 2023 · Wilmington, De
- People'S United Advisors, Inc. formerJan 25, 2022 to Dec 31, 2022 · Burlington, Vt
- Fidelity Personal And Workplace Advisors formerApr 20, 2021 to Dec 8, 2021 · Albany, Ny
- Advice And Planning Services BD affiliatedSep 3, 2014 to Mar 3, 2021 · Williston, Vt
- Northwestern Mutual Investment Services,LLC no RAUMMar 21, 2013 to Jul 30, 2014 · Colchester, Vt
Moves
a registration end followed by a registration begin elsewhere
- People'S United Advisors, Inc. to LPL Financial LLCleft Nov 15, 2023, registered Jun 8, 2023 (-160 days) · Other
- Fidelity Personal And Workplace Advisors to People'S United Advisors, Inc.left Dec 8, 2021, registered Jan 25, 2022 (48 days) · Affiliated broker-dealer or bank to independent RIA
- Advice And Planning Services to Fidelity Personal And Workplace Advisorsleft Mar 3, 2021, registered Apr 20, 2021 (48 days) · Affiliated broker-dealer or bank to another
- Northwestern Mutual Investment Services,LLC to Advice And Planning Servicesleft Jul 30, 2014, registered Sep 3, 2014 (35 days) · Other
Signals
- Max Johann Rooney left People'S United Advisors, Inc. for Lpl Financial Llc (registered 2023-06-08)Nov 15, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address