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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Juan Carlos Barraza

Advisor at BANORTE ASSET MANAGEMENT, INC.

HOUSTON, TX

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Search this name across graphsid dfx:ria:e55872f7-6150-b389-be0c-b4e3289044e2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 2, 2009 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: BANORTE ASSET MANAGEMENT, INC.
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: Aug 30, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 2
Registered states: 1
Exams: S65|S63
First exam: Aug 30, 2004
First registration: Nov 2, 2009
Dual registered: yes, broker-dealer
Other names: JUANCARLOS BARRAZA
IAPD individual key: 2979487

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
Binvesting	Independent wealth	May 20, 2025	n/a	yes	HOUSTON, TX	Current employment
BANORTE ASSET MANAGEMENT, INC.	Independent wealth	Jan 2, 2024	n/a	yes	HOUSTON, TX	Current employment
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Jan 11, 2022	Dec 1, 2023	no	Houston, TX	Previous registration
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Sep 21, 2021	Dec 31, 2021	no	Houston, TX	Previous registration
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Oct 15, 2010	Sep 20, 2021	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
ST JOHNS WEALTH MANAGEMENT	n/a	Apr 5, 2010	Oct 15, 2010	no	HOUSTON, TX	Previous registration
BBVA COMPASS INVESTMENT SOLUTIONS, INC	n/a	Nov 2, 2009	Mar 12, 2010	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX	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
PNC MANAGED ACCOUNT SOLUTIONS, INC.	BANORTE ASSET MANAGEMENT, INC.	Dec 1, 2023	Jan 2, 2024	32	Firm change	RIA to RIA
ST JOHNS WEALTH MANAGEMENT	PNC MANAGED ACCOUNT SOLUTIONS, INC.	Oct 15, 2010	Oct 15, 2010	0	Bulk transfer	Other
BBVA COMPASS INVESTMENT SOLUTIONS, INC	ST JOHNS WEALTH MANAGEMENT	Mar 12, 2010	Apr 5, 2010	24	Bulk transfer	Other

Relationships

Registered with (5)

→ BINVESTINGRegistered adviserregistration: current employment
May 20, 2025 to presentfactForm ADV
→ BANORTE ASSET MANAGEMENT, INC.Registered adviserregistration: current employment
Jan 2, 2024 to presentfactForm ADV
→ PNC MANAGED ACCOUNT SOLUTIONS, INC.Registered adviserregistration: previous registration
Jan 11, 2022 to Dec 1, 2023factForm ADV
→ ST JOHNS WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Apr 5, 2010 to Oct 15, 2010factForm ADV
→ BBVA COMPASS INVESTMENT SOLUTIONS, INCRegistered adviserregistration: previous registration
Nov 2, 2009 to Mar 12, 2010factForm ADV

Dated events

Occurred
Dec 1, 2023
Advisor changed firm
Juan Carlos Barraza left Pnc Managed Account Solutions, Inc. for Banorte Asset Management, Inc. (registered 2024-01-02)
Form ADVobserved 4 days ago