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

Sergio Rivera Vazquez

Veraz Advisorsindependent RIASan Ramon, CaIA-onlyIAPD 2373172
Feed of 09/14/2026
Also filed as Sergio Riveravazquez
At current firm
0 y
since Jan 25, 2026
In the industry
13 y
since Apr 18, 2013 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Professional profile
what the firm itself publishes, with the page it was read from
Title
Wealth Strategistreportedverazadvisors.comfirm site, Sep 16, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • Sergio Rivera Vazquez left Brookwood Investment Group for Veraz Advisors (registered 2026-01-25)
    Dec 3, 2025 · Advisor changed firm · fact
  • Sergio Rivera Vazquez left Edward Jones for Brookwood Investment Group (registered 2025-10-21)
    Jul 7, 2025 · Advisor changed firm · fact
  • Sergio Rivera Vazquez left Morgan Stanley for Edward Jones (registered 2024-04-26)
    Mar 21, 2024 · 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
Independent wealth managerderived
Years in industry
13derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address