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 Ivan Toledo
Feed of 09/14/2026
At current firm
0 y
since Mar 23, 2026
In the industry
18 y
since Jan 2, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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 Mar 23, 2026 · Austin, Tx
- First Trust Advisors LP asset managerDec 15, 2020 to Dec 19, 2024 · Austin, Tx
- Kovack International Advisors Inc. formerJun 28, 2019 to Dec 31, 2019 · Fort Lauderdale, Fl
- Morgan Stanley wirehouseJun 30, 2010 to Jan 24, 2019 · Miami Beach, Fl
- Ameriprise Financial Services, LLC national BDJan 2, 2008 to Apr 11, 2008 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- First Trust Advisors LP to LPL Financial LLCleft Dec 19, 2024, registered Mar 23, 2026 (459 days) · Other
- Kovack International Advisors Inc. to First Trust Advisors LPleft Dec 31, 2019, registered Dec 15, 2020 (350 days) · Other
- Morgan Stanley to Kovack International Advisors Inc.left Jan 24, 2019, registered Jun 28, 2019 (155 days) · Other
- Ameriprise Financial Services, LLC to Morgan Stanleyleft Apr 11, 2008, registered Jun 30, 2010 (810 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- Roger Ivan Toledo left First Trust Advisors Lp for Lpl Financial Llc (registered 2026-03-23)Dec 19, 2024 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address