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
Maria Del Carmen Baez
Feed of 09/14/2026
Also filed as Maria D Baez
At current firm
2 y
since Jan 17, 2024
In the industry
32 y
since May 16, 1994 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Oppenheimer & Co. Inc. BD affiliated currentsince Jan 17, 2024 · Houston, Tx
- Morgan Stanley wirehouseAug 9, 2018 to Dec 22, 2023 · Houston, Tx
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Aug 13, 2018 · Houston, Tx
- Chase Investment Services Corp. formerApr 21, 2005 to Oct 1, 2012 · Houston, Tx
- Chase Investment Services Corp. formerJun 20, 2003 to Apr 6, 2005 · Houston, Tx
- Wells Fargo Investments, LLC unclassifiedJun 20, 2001 to Sep 25, 2003 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Morgan Stanley to Oppenheimer & Co. Inc.left Dec 22, 2023, registered Jan 17, 2024 (26 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J.P. Morgan Securities LLC to Morgan Stanleyleft Aug 13, 2018, registered Aug 9, 2018 (-4 days) · Wirehouse to wirehouse · moved with a team
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Wells Fargo Investments, LLC to Chase Investment Services Corp.left Sep 25, 2003, registered Jun 20, 2003 (-97 days) · Other
Signals
- Maria Del Carmen Baez left Morgan Stanley for Oppenheimer & Co. Inc. (registered 2024-01-17)Dec 22, 2023 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address