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
Bradley Louis Rozema
Feed of 09/14/2026
Also filed as Bradley L Rozema
At current firm
6 y
since Aug 27, 2020
In the industry
46 y
since Jan 31, 1980 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Thurston Springer Advisors BD affiliated currentsince Aug 27, 2020 · Indianapolis, In
- Wells Fargo Advisors wirehouseMar 4, 2009 to Aug 21, 2014 · Indianapolis, In
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseDec 15, 1998 to Feb 23, 2009 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- Wells Fargo Advisors to Thurston Springer Advisorsleft Aug 21, 2014, registered Aug 27, 2020 (2198 days) · Wirehouse to affiliated broker-dealer or bank
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Advisorsleft Feb 23, 2009, registered Mar 4, 2009 (9 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address