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

William Roger Rassman

Cwm, LLCBD affiliatedOmaha, Ne IA-onlyIAPD 5549851

Certified Financial Planner

Feed of 09/14/2026

Also filed as William Roger Rassman

At current firm

1 y

since Jan 16, 2025

In the industry

16 y

since Sep 6, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Cwm, LLC BD affiliated current
since Jan 16, 2025 · Woodlands, Tx
Rwm Capital, LLC independent RIA
Apr 26, 2023 to Jan 15, 2025 · Sugar Land, Tx
Prosper Point LLC unclassified
Apr 9, 2020 to Dec 31, 2023 · Royal Palm Beach, Fl
Woodridge Wealth Management, LLC unclassified
Jan 29, 2019 to Dec 31, 2019 · Los Angeles, Ca
Centric Capital Advisors, LLC unclassified
Jun 6, 2018 to Apr 2, 2020 · Los Angeles, Ca
Woodridge Wealth Management, LLC unclassified
Jun 23, 2016 to Dec 31, 2018 · Los Angeles, Ca
Kestra Advisory Services, LLC BD affiliated
Apr 18, 2016 to Jun 6, 2016 · Santa Barbara, Ca
Nfp Advisor Services, LLC former
Nov 4, 2014 to Jun 6, 2016 · Los Angeles, Ca
Deutsche Bank Securities Inc. no RAUM
Jun 11, 2013 to Oct 28, 2014 · Los Angeles, Ca
Mariner BD affiliated
Mar 28, 2012 to Jun 3, 2013 · Overland Park, Ks
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 30, 2010 to Dec 22, 2011 · Los Angeles, Ca
Equitable Advisors, LLC national BD
Sep 7, 2010 to Oct 18, 2010 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

Rwm Capital, LLC to Cwm, LLC
left Jan 15, 2025, registered Jan 16, 2025 (1 days) · RIA to affiliated broker-dealer or bank
Prosper Point LLC to Rwm Capital, LLC
left Dec 31, 2023, registered Apr 26, 2023 (-249 days) · Other
Centric Capital Advisors, LLC to Woodridge Wealth Management, LLC
left Apr 2, 2020, registered Jan 29, 2019 (-429 days) · Other
Woodridge Wealth Management, LLC to Prosper Point LLC
left Dec 31, 2019, registered Apr 9, 2020 (100 days) · Other
Woodridge Wealth Management, LLC to Centric Capital Advisors, LLC
left Dec 31, 2018, registered Jun 6, 2018 (-208 days) · Other · moved with a team
Kestra Advisory Services, LLC to Woodridge Wealth Management, LLC
left Jun 6, 2016, registered Jun 23, 2016 (17 days) · Other
Nfp Advisor Services, LLC to Kestra Advisory Services, LLC
left Jun 6, 2016, registered Apr 18, 2016 (-49 days) · Other
Deutsche Bank Securities Inc. to Nfp Advisor Services, LLC
left Oct 28, 2014, registered Nov 4, 2014 (7 days) · Other
Mariner to Deutsche Bank Securities Inc.
left Jun 3, 2013, registered Jun 11, 2013 (8 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Mariner
left Dec 22, 2011, registered Mar 28, 2012 (97 days) · Other
Equitable Advisors, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 18, 2010, registered Nov 30, 2010 (43 days) · Affiliated broker-dealer or bank to wirehouse

Signals

William Roger Rassman left Rwm Capital, Llc for Cwm, Llc (registered 2025-01-16)
Jan 15, 2025 · Advisor changed firm · fact
William Roger Rassman left Prosper Point Llc for Rwm Capital, Llc (registered 2023-04-26)
Dec 31, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address