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.

Former SEC-registered adviser

Rogers Financial

Former SEC-registered adviserHarrisonburg, VirginiaCRD 130287SEC 801-71227IAPD
Legal name Rogers Financial Group, Inc.
Latest filing Mar 17, 2015
First filing on the tape Feb 29, 2012 · 6 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM: $1.0B
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 17, 2015
Feb 29, 20120 then
Employees (5.A)5 as of Mar 17, 2015
Feb 25, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 5
Practice profile
derived from the filing of Mar 17, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
pension consultingreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Joseph Kenneth Rogers · President/Chief Compliance Officercontrol
      since 01/1994 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • BD registered reps · 4 to 5
      May 27, 2014 to Mar 17, 2015
    • Employees · 4 to 5
      May 27, 2014 to Mar 17, 2015
    • State-registered IARs · 4 to 5
      May 27, 2014 to Mar 17, 2015
    • Accounts · 30.0 to unset
      Feb 25, 2013 to Feb 4, 2014
    • State-registered IARs · 2 to 4
      Feb 25, 2013 to Feb 4, 2014
    • Discretionary RAUM · 0.0 to unset
      Feb 25, 2013 to Feb 4, 2014
    • Non-discretionary RAUM · 1000000000.0 to unset
      Feb 25, 2013 to Feb 4, 2014
    • RAUM · 1000000000.0 to unset
      Feb 25, 2013 to Feb 4, 2014
    • Accounts · unset to 30.0
      Dec 7, 2012 to Feb 25, 2013
    • BD registered reps · 3 to 4
      Dec 7, 2012 to Feb 25, 2013
    • Employees · 3 to 4
      Dec 7, 2012 to Feb 25, 2013
    • Discretionary RAUM · unset to 0.0
      Dec 7, 2012 to Feb 25, 2013
    • Non-discretionary RAUM · unset to 1000000000.0
      Dec 7, 2012 to Feb 25, 2013
    • RAUM · unset to 1000000000.0
      Dec 7, 2012 to Feb 25, 2013
    • Advisory employees · unset to 2.0
      Feb 29, 2012 to Dec 7, 2012
    • BD registered reps · unset to 3.0
      Feb 29, 2012 to Dec 7, 2012
    • Employees · unset to 3.0
      Feb 29, 2012 to Dec 7, 2012
    • State-registered IARs · 0 to 2
      Feb 29, 2012 to Dec 7, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026