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
Samuel Victor Garcia
Certified Financial Planner
Feed of 09/15/2026
Also filed as Sam Garcia
At current firm
4 y
since May 12, 2022
In the industry
14 y
since Dec 29, 2011 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
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
- Cerity Partners Retirement Plan Consultants institutional currentsince Nov 15, 2024 · Los Angeles, Ca
- Cerity Partners LLC independent RIA currentsince May 12, 2022 · New York, Ny
- Sagepoint Financial, Inc. formerApr 2, 2015 to May 31, 2022 · Beverly Hills, Ca
- Pension Architects Advisory Group LLC formerApr 1, 2014 to Sep 1, 2015 · Malibu, Ca
- Cerity Partners Retirement Plan Consultants institutionalFeb 13, 2014 to Sep 1, 2015 · Malibu, Ca
- Pension Architects Advisory Group, LLC formerJan 1, 2012 to Dec 31, 2013 · Malibu, Ca
Moves
a registration end followed by a registration begin elsewhere
- Sagepoint Financial, Inc. to Cerity Partners LLCleft May 31, 2022, registered May 12, 2022 (-19 days) · Affiliated broker-dealer or bank to independent RIA
- Cerity Partners Retirement Plan Consultants to Pension Architects Advisory Group LLCleft Sep 1, 2015, registered Apr 1, 2014 (-518 days) · Other
- Pension Architects Advisory Group LLC to Sagepoint Financial, Inc.left Sep 1, 2015, registered Apr 2, 2015 (-152 days) · Other
- Pension Architects Advisory Group, LLC to Cerity Partners Retirement Plan Consultantsleft Dec 31, 2013, registered Feb 13, 2014 (44 days) · Other
Signals
- Samuel Victor Garcia left Sagepoint Financial, Inc. for Cerity Partners Llc (registered 2022-05-12)May 31, 2022 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address