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

Rafael Antonio Gutierrez

Voya Financial Advisors, Inc.BD affiliatedVienna, Vadual registrantIAPD 4360060

Feed of 09/14/2026

Also filed as Rafael Antonio Gutierrez

At current firm

1 y

since Jan 2, 2025

In the industry

24 y

since May 30, 2002 (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

Voya Financial Advisors, Inc. BD affiliated current
since Jan 2, 2025 · Vienna, Va
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Apr 11, 2023 to Jan 2, 2025 · North Bethesda, Md
Northwest Financial Advisors LLC independent RIA
Aug 6, 2021 to Mar 27, 2023 · Herndon, Va
LPL Financial LLC BD affiliated
Jun 8, 2021 to Jul 30, 2021 · Herndon, Va
Edelman Financial Engines independent RIA
Apr 25, 2019 to Dec 23, 2020 · Vienna, Va
Commonwealth Financial Network national BD
Oct 4, 2018 to Nov 5, 2018 · Rockville, Md
Allstate Financial Advisors, LLC BD affiliated
Aug 24, 2018 to Jan 23, 2019 · Fairfax, Va
Missionsquare Retirement BD affiliated
Sep 25, 2008 to May 9, 2012 · Washington, Dc
Northwestern Mutual Investment Services,LLC no RAUM
Aug 4, 2008 to Sep 17, 2008 · Mc Lean, Va
Thrivent Investment Management Inc. BD affiliated
Dec 6, 2007 to May 28, 2008 · Alexandria, Va
Cuna Brokerage Services, Inc. former
May 18, 2005 to Feb 1, 2006 · Dale City, Va
Park Avenue Securities LLC BD affiliated
Oct 8, 2004 to Apr 8, 2005 · Fairfax, Va
Ameriprise Financial Services, LLC national BD
Jul 16, 2002 to Apr 15, 2003 · Centreville, Va
Ameriprise Financial Services, LLC national BD
May 30, 2002 to Jun 18, 2002 · Vienna, Va

Moves

a registration end followed by a registration begin elsewhere

Merrill Lynch, Pierce, Fenner & Smith Incorporated to Voya Financial Advisors, Inc.
left Jan 2, 2025, registered Jan 2, 2025 (0 days) · Wirehouse to affiliated broker-dealer or bank
Northwest Financial Advisors LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Mar 27, 2023, registered Apr 11, 2023 (15 days) · RIA to wirehouse
LPL Financial LLC to Northwest Financial Advisors LLC
left Jul 30, 2021, registered Aug 6, 2021 (7 days) · Affiliated broker-dealer or bank to independent RIA
Edelman Financial Engines to LPL Financial LLC
left Dec 23, 2020, registered Jun 8, 2021 (167 days) · RIA to affiliated broker-dealer or bank
Allstate Financial Advisors, LLC to Commonwealth Financial Network
left Jan 23, 2019, registered Oct 4, 2018 (-111 days) · Affiliated broker-dealer or bank to another
Commonwealth Financial Network to Edelman Financial Engines
left Nov 5, 2018, registered Apr 25, 2019 (171 days) · Affiliated broker-dealer or bank to independent RIA
Missionsquare Retirement to Allstate Financial Advisors, LLC
left May 9, 2012, registered Aug 24, 2018 (2298 days) · Other
Northwestern Mutual Investment Services,LLC to Missionsquare Retirement
left Sep 17, 2008, registered Sep 25, 2008 (8 days) · Other
Thrivent Investment Management Inc. to Northwestern Mutual Investment Services,LLC
left May 28, 2008, registered Aug 4, 2008 (68 days) · Other
Cuna Brokerage Services, Inc. to Thrivent Investment Management Inc.
left Feb 1, 2006, registered Dec 6, 2007 (673 days) · Other
Park Avenue Securities LLC to Cuna Brokerage Services, Inc.
left Apr 8, 2005, registered May 18, 2005 (40 days) · Other
Ameriprise Financial Services, LLC to Park Avenue Securities LLC
left Apr 15, 2003, registered Oct 8, 2004 (542 days) · Other

Signals

Rafael Antonio Gutierrez left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Voya Financial Advisors, Inc. (registered 2025-01-02)
Jan 2, 2025 · Advisor changed firm · fact
Rafael Antonio Gutierrez left Northwest Financial Advisors Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-04-11)
Mar 27, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address