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.
Advisor moves
Arrivals at Roth Capital Partners, LLC
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Cory Brian Finke | Northern Trust Securities, Inc BD affiliated | Roth Capital Partners, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 22, 2025 | Sep 23, 2025 |
| Alexander Gene Montano | C.K. Cooper & Company, Inc. unclassified | Roth Capital Partners, LLC state registered | Other | Sep 6, 2013 | Oct 8, 2013 (32 d) |
| Dustin Fernando Cabrera | C.K. Cooper & Company, Inc. unclassified | Roth Capital Partners, LLC state registered | Other | Jul 1, 2013 | Apr 16, 2014 (289 d) |
| Joseph George Reagor | John C. Tumazos state registered | Roth Capital Partners, LLC state registered | Other | Nov 26, 2012 | Sep 19, 2013 (297 d) |
| Peter Sean Mcdonnell | Advanced Equities, Inc. other | Roth Capital Partners, LLC state registered | Other | Nov 20, 2012 | Jan 17, 2013 (58 d) |
| James Patrick Kozak | Advanced Equities, Inc. other | Roth Capital Partners, LLC state registered | Other | Nov 20, 2012 | Jan 17, 2013 (58 d) |
| John Peter Ferrick | Advanced Equities, Inc. other | Roth Capital Partners, LLC state registered | Other | Nov 20, 2012 | Jan 17, 2013 (58 d) |
| Gordon Eliot Fallone | Advanced Equities, Inc. other | Roth Capital Partners, LLC state registered | Other | Nov 19, 2012 | Jan 24, 2013 (66 d) |
| Peter Raymond Fogarty | Advanced Equities, Inc. other | Roth Capital Partners, LLC state registered | Other | Nov 19, 2012 | Jan 17, 2013 (59 d) |
| Sharon Yu | UBS Financial Services Inc. wirehouse | Roth Capital Partners, LLC state registered | Wirehouse to a state-registered adviser | Sep 23, 2010 | Nov 1, 2011 (404 d) |
| Jacob Egan Frank | Wells Fargo Investments, LLC unclassified | Roth Capital Partners, LLC state registered | Other | Jul 20, 2010 | Apr 13, 2012 (633 d) |
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11 moves match.