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.
Feed of 09/14/2026
Also filed as Rod Kirkner
At current firm
1 y
since May 1, 2025
In the industry
40 y
since Nov 22, 1985 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- LPL Financial LLC BD affiliated currentsince May 1, 2025 · Marion, Nc
- Grove Point Advisors, LLC formerNov 27, 2023 to May 1, 2025 · Rockville, Md
- H. Beck, Inc. formerOct 12, 2017 to Nov 2, 2018 · Rockville, Md
- Osaic Fa, Inc. formerMay 22, 2013 to Oct 2, 2017 · Southampton, Pa
- Ssn Advisory, Inc. formerMar 6, 2006 to Apr 17, 2009 · Warrington, Pa
- Securities America Advisors, Inc. formerOct 23, 2002 to Mar 8, 2006 · Warrington, Pa
Moves
a registration end followed by a registration begin elsewhere
- Grove Point Advisors, LLC to LPL Financial LLCleft May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- H. Beck, Inc. to Grove Point Advisors, LLCleft Nov 2, 2018, registered Nov 27, 2023 (1851 days) · Affiliated broker-dealer or bank to another
- Osaic Fa, Inc. to H. Beck, Inc.left Oct 2, 2017, registered Oct 12, 2017 (10 days) · Other
- Ssn Advisory, Inc. to Osaic Fa, Inc.left Apr 17, 2009, registered May 22, 2013 (1496 days) · Other
- Securities America Advisors, Inc. to Ssn Advisory, Inc.left Mar 8, 2006, registered Mar 6, 2006 (-2 days) · Other
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address