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
Ron L Guidi
Feed of 09/14/2026
Also filed as L. Ronald Guidi
At current firm
0 y
since Apr 2, 2026
In the industry
28 y
since Jan 7, 1998 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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 Apr 2, 2026 · San Francisco, Ca
- Rockefeller Capital Management BD affiliatedAug 7, 2024 to Apr 17, 2026 · San Francisco, Ca
- Rockefeller Capital Management BD affiliatedMay 7, 2019 to Apr 17, 2026 · San Francisco, Ca
- Liberty Wealth Management, LLC independent RIAMay 17, 2018 to Apr 29, 2019 · Oakland, Ca
- Liberty Wealth Management, LLC formerAug 24, 2017 to Oct 10, 2018 · Oakland, Ca
- Robertson Stephens Advisors formerAug 9, 2013 to Aug 4, 2017 · San Francisco, Ca
- Deutsche Bank Securities Inc. no RAUMJul 20, 2006 to Mar 20, 2013 · San Francisco, Ca
- S & Y Asset Management LLC unclassifiedMar 11, 2005 to Nov 7, 2005 · San Francisco, Ca
- Stone & Youngberg LLC formerJul 26, 2004 to Nov 7, 2005 · San Francisco, Ca
- Robertson Stephens, Inc. unclassifiedJun 19, 2002 to Nov 1, 2002 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- Rockefeller Capital Management to Oppenheimer & Co. Inc.left Apr 17, 2026, registered Apr 2, 2026 (-15 days) · Affiliated broker-dealer or bank to another
- Rockefeller Capital Management to Rockefeller Capital Managementleft Apr 17, 2026, registered Aug 7, 2024 (-618 days) · channel change inside one enterprise, not a move
- Liberty Wealth Management, LLC to Rockefeller Capital Managementleft Apr 29, 2019, registered May 7, 2019 (8 days) · RIA to RIA
- Liberty Wealth Management, LLC to Liberty Wealth Management, LLCleft Oct 10, 2018, registered May 17, 2018 (-146 days) · channel change inside one enterprise, not a move · moved with a team
- Robertson Stephens Advisors to Liberty Wealth Management, LLCleft Aug 4, 2017, registered Aug 24, 2017 (20 days) · Other
- Deutsche Bank Securities Inc. to Robertson Stephens Advisorsleft Mar 20, 2013, registered Aug 9, 2013 (142 days) · Other
- S & Y Asset Management LLC to Deutsche Bank Securities Inc.left Nov 7, 2005, registered Jul 20, 2006 (255 days) · Other
- Stone & Youngberg LLC to S & Y Asset Management LLCleft Nov 7, 2005, registered Mar 11, 2005 (-241 days) · Other
- Robertson Stephens, Inc. to Stone & Youngberg LLCleft Nov 1, 2002, registered Jul 26, 2004 (633 days) · Other
Signals
- Ron L Guidi left Rockefeller Capital Management for Oppenheimer & Co. Inc. (registered 2026-04-02)Apr 17, 2026 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address