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

Oscar Cortes

Vanguard Advisers, Inc.BD affiliatedScottsdale, Azdual registrantIAPD 4011097

Feed of 09/14/2026

Also filed as Oscar G Cortes

At current firm

0 y

since Apr 2, 2026

In the industry

26 y

since Feb 18, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Vanguard Advisers, Inc. BD affiliated current
since Apr 2, 2026 · Scottsdale, Az
LPL Financial LLC BD affiliated
Jul 19, 2023 to Feb 6, 2026 · Phoenix, Az
Bancwest Investment Services, Inc. (Bwis) former
Nov 26, 2019 to Jul 19, 2023 · Tucson, Az
Charles Schwab & Co., Inc. national BD
Sep 11, 2017 to Nov 29, 2019 · Phoenix, Az
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jun 17, 2013 to Aug 17, 2017 · Chandler, Az
Charles Schwab & Co., Inc. national BD
Apr 28, 2008 to May 17, 2013 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to Vanguard Advisers, Inc.
left Feb 6, 2026, registered Apr 2, 2026 (55 days) · Affiliated broker-dealer or bank to another
Bancwest Investment Services, Inc. (Bwis) to LPL Financial LLC
left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
Charles Schwab & Co., Inc. to Bancwest Investment Services, Inc. (Bwis)
left Nov 29, 2019, registered Nov 26, 2019 (-3 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Charles Schwab & Co., Inc.
left Aug 17, 2017, registered Sep 11, 2017 (25 days) · Wirehouse to affiliated broker-dealer or bank
Charles Schwab & Co., Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left May 17, 2013, registered Jun 17, 2013 (31 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Oscar Cortes left Lpl Financial Llc for Vanguard Advisers, Inc. (registered 2026-04-02)
Feb 6, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address