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RIA / WealthAdvisorCertified Financial Planner11 years in industry

Carlos Mauricio Alas

Advisor at EP WEALTH ADVISORS

TORRANCE, CA | Denver, CO

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Search this name across graphsid dfx:ria:32d28d9d-bd49-4e41-9c07-8da11de7c6c2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Oct 27, 2023 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EP WEALTH ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Mar 7, 2023
First registration: Oct 27, 2023
Dual registered: no
Other names: Mauricio Alas|Carlos Mauricio Alas Montoya
IAPD individual key: 7636892

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EP WEALTH ADVISORS	Independent wealth	Jun 24, 2026	n/a	yes	TORRANCE, CA\|Denver, CO	Current employment
SUMMIT WEALTH GROUP	Independent wealth	Sep 25, 2025	Jun 22, 2026	no	COLORADO SPRINGS, CO	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Feb 6, 2024	May 7, 2025	no	Greenwood Village, CO	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Oct 27, 2023	Feb 1, 2024	no	Lone Tree, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SUMMIT WEALTH GROUP	EP WEALTH ADVISORS	Jun 22, 2026	Jun 24, 2026	2	Firm change	RIA to RIA
COMMONWEALTH FINANCIAL NETWORK	SUMMIT WEALTH GROUP	May 7, 2025	Sep 25, 2025	141	Bulk transfer	Ibd to RIA
CHARLES SCHWAB & CO., INC.	COMMONWEALTH FINANCIAL NETWORK	Feb 1, 2024	Feb 6, 2024	5	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ EP WEALTH ADVISORSRegistered adviserregistration: current employment
Jun 24, 2026 to presentfactForm ADV
→ SUMMIT WEALTH GROUPRegistered adviserregistration: previous registration
Sep 25, 2025 to Jun 22, 2026factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Feb 6, 2024 to May 7, 2025factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Oct 27, 2023 to Feb 1, 2024factForm ADV

Dated events

Occurred
Jun 22, 2026
Advisor changed firm
Carlos Mauricio Alas left Summit Wealth Group for Ep Wealth Advisors (registered 2026-06-24)
Form ADVobserved 3 days ago
Occurred
Feb 1, 2024
Advisor changed firm
Carlos Mauricio Alas left Charles Schwab & Co., Inc. for Commonwealth Financial Network (registered 2024-02-06)
Form ADVobserved 3 days ago