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
Roberto Ramiro Pena
Feed of 09/14/2026
At current firm
5 y
since Sep 16, 2021
In the industry
30 y
since Dec 4, 1995 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Insigneo Advisory Services, LLC mixed wealth currentsince Sep 16, 2021 · Miami, Fl
- Hsbc Securities (USA) Inc. BD affiliatedApr 9, 2012 to Jul 7, 2021 · Miami, Fl
- LPL Financial LLC BD affiliatedAug 9, 2011 to Mar 20, 2012 · Miami, Fl
- Vectorglobal Iag, Inc. formerMar 2, 2011 to Jul 19, 2011 · Miami, Fl
- Capital Guardian Wealth Management, LLC formerMay 28, 2009 to Nov 15, 2010 · Miami, Fl
- Stanford Group Company unclassifiedOct 17, 2005 to Mar 13, 2009 · Miami, Fl
- Citicorp Investment Services unclassifiedMar 24, 2005 to Jun 9, 2005 · Miami, Fl
- Citicorp Investment Services unclassifiedSep 30, 2004 to Mar 7, 2005 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- Hsbc Securities (USA) Inc. to Insigneo Advisory Services, LLCleft Jul 7, 2021, registered Sep 16, 2021 (71 days) · Affiliated broker-dealer or bank to independent RIA
- LPL Financial LLC to Hsbc Securities (USA) Inc.left Mar 20, 2012, registered Apr 9, 2012 (20 days) · Other
- Vectorglobal Iag, Inc. to LPL Financial LLCleft Jul 19, 2011, registered Aug 9, 2011 (21 days) · Other
- Capital Guardian Wealth Management, LLC to Vectorglobal Iag, Inc.left Nov 15, 2010, registered Mar 2, 2011 (107 days) · Other
- Stanford Group Company to Capital Guardian Wealth Management, LLCleft Mar 13, 2009, registered May 28, 2009 (76 days) · Other
- Citicorp Investment Services to Stanford Group Companyleft Jun 9, 2005, registered Oct 17, 2005 (130 days) · Other
Signals
No dated event on this person.
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address