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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

ALEXIS PAUL RIVERA

Advisor at STATE FARM INVESTMENT MANAGEMENT CORP.

Chicago, IL

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Search this name across graphsid dfx:ria:4f4bd610-b851-8a69-b64a-e51a4c60606e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 14, 2017 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: STATE FARM INVESTMENT MANAGEMENT CORP.
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 9, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: May 9, 2016
First registration: Apr 14, 2017
Dual registered: yes, broker-dealer
Other names: ALEXIS PAUL RIVERA|Alexis P Rivera
IAPD individual key: 5189676

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
STATE FARM INVESTMENT MANAGEMENT CORP.	Asset manager	Jun 2, 2022	n/a	yes	Chicago, IL	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Aug 13, 2020	Sep 16, 2021	no	HIGHLAND PARK, IL	Previous registration
WELLMENT FINANCIAL	Independent wealth	Mar 23, 2019	Dec 12, 2019	no	ELMHURST, IL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	May 14, 2018	Mar 5, 2019	no	Oak Brook, IL	Previous registration
JMC WEALTH	State registered	Jun 22, 2017	Apr 25, 2018	no	Chicago, IL	Previous registration
SEQUOIA WEALTH MANAGEMENT, LLC	Independent wealth	Jun 16, 2017	Apr 23, 2018	no	Chicago, IL	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Apr 14, 2017	May 3, 2017	no	OAK BROOK, IL	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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STATE FARM INVESTMENT MANAGEMENT CORP.	Sep 16, 2021	Jun 2, 2022	259	Firm change	Other
WELLMENT FINANCIAL	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Dec 12, 2019	Aug 13, 2020	245	Firm change	RIA to ibd
CHARLES SCHWAB & CO., INC.	WELLMENT FINANCIAL	Mar 5, 2019	Mar 23, 2019	18	Firm change	Ibd to RIA
JMC WEALTH	CHARLES SCHWAB & CO., INC.	Apr 25, 2018	May 14, 2018	19	Firm change	Other
SEQUOIA WEALTH MANAGEMENT, LLC	JMC WEALTH	Apr 23, 2018	Jun 22, 2017	-305	Firm change after gap	RIA to state RIA
EQUITABLE ADVISORS, LLC	SEQUOIA WEALTH MANAGEMENT, LLC	May 3, 2017	Jun 16, 2017	44	Firm change	Other

Relationships

Registered with (7)

→ STATE FARM INVESTMENT MANAGEMENT CORP.Registered adviserregistration: current employment
Jun 2, 2022 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Aug 13, 2020 to Sep 16, 2021factForm ADV
→ WELLMENT FINANCIALRegistered adviserregistration: previous registration
Mar 23, 2019 to Dec 12, 2019factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
May 14, 2018 to Mar 5, 2019factForm ADV
→ JMC WEALTHRegistered adviserregistration: previous registration
Jun 22, 2017 to Apr 25, 2018factForm ADV
→ SEQUOIA WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 16, 2017 to Apr 23, 2018factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 14, 2017 to May 3, 2017factForm ADV

Dated events

No dated event names this entity yet.