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
Roxana E Solorzano
Feed of 09/15/2026
Also filed as Roxanna Solorzano
At current firm
2 y
since May 31, 2024
In the industry
27 y
since Nov 24, 1998 (earliest exam, job or registration)
Prior registered firms
10
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Ameriprise Financial Services, LLC national BD currentsince May 31, 2024 · Monrovia, Ca
- Urban Wealth Management Or Uwm independent RIASep 1, 2023 to Jun 6, 2024 · Henderson, Nv
- Allstate Financial Advisors, LLC BD affiliatedApr 24, 2018 to Sep 1, 2023 · Los Angeles, Ca
- Equanimity Financial Partners independent RIADec 8, 2017 to Jan 12, 2018 · Pasadena, Ca
- Lake Avenue Financial, LLC unclassifiedApr 1, 2016 to Jun 27, 2016 · Pasadena, Ca
- Lake Avenue Financial, LLC unclassifiedNov 4, 2015 to Dec 31, 2015 · Pasadena, Ca
- LPL Financial LLC BD affiliatedAug 10, 2009 to Jan 24, 2017 · Diamond Bar, Ca
- Chase Investment Services Corp. formerMay 2, 2009 to May 12, 2009 · Los Angeles, Ca
- Wamu Investments, Inc. unclassifiedDec 16, 2008 to May 2, 2009 · Los Angeles, Ca
- LPL Financial LLC BD affiliatedFeb 10, 2004 to Dec 22, 2008 · Brea, Ca
- Ameriprise Financial Services, LLC national BDOct 15, 2001 to Oct 24, 2002 · Santa Monica, Ca
Moves
a registration end followed by a registration begin elsewhere
- Urban Wealth Management Or Uwm to Ameriprise Financial Services, LLCleft Jun 6, 2024, registered May 31, 2024 (-6 days) · RIA to affiliated broker-dealer or bank
- Allstate Financial Advisors, LLC to Urban Wealth Management Or Uwmleft Sep 1, 2023, registered Sep 1, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA
- Equanimity Financial Partners to Allstate Financial Advisors, LLCleft Jan 12, 2018, registered Apr 24, 2018 (102 days) · Other
- LPL Financial LLC to Lake Avenue Financial, LLCleft Jan 24, 2017, registered Nov 4, 2015 (-447 days) · Other
- Lake Avenue Financial, LLC to Equanimity Financial Partnersleft Jun 27, 2016, registered Dec 8, 2017 (529 days) · Other
- Chase Investment Services Corp. to LPL Financial LLCleft May 12, 2009, registered Aug 10, 2009 (90 days) · Other
- Wamu Investments, Inc. to Chase Investment Services Corp.left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- LPL Financial LLC to Wamu Investments, Inc.left Dec 22, 2008, registered Dec 16, 2008 (-6 days) · Other
- Ameriprise Financial Services, LLC to LPL Financial LLCleft Oct 24, 2002, registered Feb 10, 2004 (474 days) · Other
Signals
- Roxana E Solorzano left Urban Wealth Management Or Uwm for Ameriprise Financial Services, Llc (registered 2024-05-31)Jun 6, 2024 · Advisor changed firm · fact
- Roxana E Solorzano left Allstate Financial Advisors, Llc for Urban Wealth Management Or Uwm (registered 2023-09-01)Sep 1, 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address