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.

Registered advisor

Julian Ortega

Transamerica Financial Advisors, LLCBD affiliatedCedar Rapids, Ia dual registrantIAPD 2064426

Feed of 09/15/2026

Also filed as Julian Ortega

At current firm

0 y

since Aug 27, 2026

In the industry

33 y

since Jan 29, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Transamerica Financial Advisors, LLC BD affiliated current
since Aug 27, 2026 · Cedar Rapids, Ia
Cetera Investment Advisers LLC BD affiliated
May 30, 2024 to Aug 21, 2026 · San Antonio, Tx
Wells Fargo Advisors wirehouse
Dec 16, 2022 to May 20, 2024 · San Antonio, Tx
Frost Investment Services BD affiliated
Jul 19, 2022 to Dec 8, 2022 · San Antonio, Tx
LPL Financial LLC BD affiliated
Sep 10, 2020 to Jul 21, 2022 · San Diego, Ca
Usaa Investment Services Company no RAUM
Oct 21, 2010 to Aug 28, 2020 · San Antonio, Tx
Nfp Advisor Services, LLC former
Jan 3, 2008 to Sep 21, 2010 · Austin, Tx

Moves

a registration end followed by a registration begin elsewhere

Cetera Investment Advisers LLC to Transamerica Financial Advisors, LLC
left Aug 21, 2026, registered Aug 27, 2026 (6 days) · Affiliated broker-dealer or bank to another
Wells Fargo Advisors to Cetera Investment Advisers LLC
left May 20, 2024, registered May 30, 2024 (10 days) · Wirehouse to affiliated broker-dealer or bank
Frost Investment Services to Wells Fargo Advisors
left Dec 8, 2022, registered Dec 16, 2022 (8 days) · Affiliated broker-dealer or bank to wirehouse
LPL Financial LLC to Frost Investment Services
left Jul 21, 2022, registered Jul 19, 2022 (-2 days) · RIA to affiliated broker-dealer or bank
Usaa Investment Services Company to LPL Financial LLC
left Aug 28, 2020, registered Sep 10, 2020 (13 days) · Other
Nfp Advisor Services, LLC to Usaa Investment Services Company
left Sep 21, 2010, registered Oct 21, 2010 (30 days) · Other

Signals

Julian Ortega left Cetera Investment Advisers Llc for Transamerica Financial Advisors, Llc (registered 2026-08-27)
Aug 21, 2026 · Advisor changed firm · fact
Julian Ortega left Wells Fargo Advisors for Cetera Investment Advisers Llc (registered 2024-05-30)
May 20, 2024 · Advisor changed firm · fact
Julian Ortega left Frost Investment Services for Wells Fargo Advisors (registered 2022-12-16)
Dec 8, 2022 · Advisor changed firm · fact
Julian Ortega left Lpl Financial Llc for Frost Investment Services (registered 2022-07-19)
Jul 21, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address