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
Robert Allan Palma
Feed of 09/14/2026
Also filed as Robert Allan Palma Jr
At current firm
3 y
since Jul 5, 2023
In the industry
12 y
since Feb 15, 2014 (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
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
- Cambridge Investment Research Advisors, Inc. BD affiliated currentsince Jul 5, 2023 · Royal Oak, Mi
- Regal Investment Advisors LLC BD affiliatedJun 6, 2019 to Jul 7, 2023 · Royal Oak, Mi
- Capital Analysts BD affiliatedMay 9, 2018 to Jun 7, 2019 · Royal Oak, Mi
- Lincoln Investment independent RIAJun 9, 2017 to Jun 7, 2019 · Royal Oak, Mi
- Legend Advisory, LLC formerJan 21, 2016 to Jun 18, 2019 · Royal Oak, Mi
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFeb 19, 2014 to Jan 19, 2016 · Bloomfield Hills, Mi
Moves
a registration end followed by a registration begin elsewhere
- Regal Investment Advisors LLC to Cambridge Investment Research Advisors, Inc.left Jul 7, 2023, registered Jul 5, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- Legend Advisory, LLC to Lincoln Investmentleft Jun 18, 2019, registered Jun 9, 2017 (-739 days) · Other
- Capital Analysts to Regal Investment Advisors LLCleft Jun 7, 2019, registered Jun 6, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- Lincoln Investment to Capital Analystsleft Jun 7, 2019, registered May 9, 2018 (-394 days) · Affiliated broker-dealer or bank to another
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Legend Advisory, LLCleft Jan 19, 2016, registered Jan 21, 2016 (2 days) · Other
Signals
- Robert Allan Palma left Regal Investment Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-07-05)Jul 7, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address