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
Sergio Gabriel Garza
Feed of 09/14/2026
At current firm
1 y
since Aug 18, 2025
In the industry
26 y
since May 30, 2000 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- LPL Financial LLC BD affiliated currentsince Aug 18, 2025 · Tukwila, Wa
- Pnc Wealth Management BD affiliatedJul 23, 2021 to Aug 1, 2025 · Austin, Tx
- LPL Financial LLC BD affiliatedDec 11, 2020 to Jul 15, 2021 · North Marble Falls, Tx
- Cuna Brokerage Services, Inc. formerJan 3, 2008 to Dec 8, 2020 · Houston, Tx
- Td Ameritrade Investment Management, LLC formerMay 12, 2006 to Feb 8, 2007 · Houston, Tx
- Td Ameritrade, Inc. formerMay 28, 2003 to Feb 8, 2007 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Pnc Wealth Management to LPL Financial LLCleft Aug 1, 2025, registered Aug 18, 2025 (17 days) · Affiliated broker-dealer or bank to another
- LPL Financial LLC to Pnc Wealth Managementleft Jul 15, 2021, registered Jul 23, 2021 (8 days) · Affiliated broker-dealer or bank to another
- Cuna Brokerage Services, Inc. to LPL Financial LLCleft Dec 8, 2020, registered Dec 11, 2020 (3 days) · Affiliated broker-dealer or bank to another
- Td Ameritrade Investment Management, LLC to Cuna Brokerage Services, Inc.left Feb 8, 2007, registered Jan 3, 2008 (329 days) · Other
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Feb 8, 2007, registered May 12, 2006 (-272 days) · channel change inside one enterprise, not a move
Signals
- Sergio Gabriel Garza left Pnc Wealth Management for Lpl Financial Llc (registered 2025-08-18)Aug 1, 2025 · 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