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

Gustavo Arce

LPL Financial LLCBD affiliatedWalnut Creek, Cadual registrantIAPD 4432219

Feed of 09/14/2026

Also filed as Gustavo A Arce

At current firm

0 y

since Dec 11, 2025

In the industry

22 y

since Feb 19, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Dec 11, 2025 · Walnut Creek, Ca
First Citizens Investor Services, Inc. BD affiliated
May 29, 2025 to Nov 3, 2025 · San Francisco, Ca
Svb Investment Services Inc. former
Aug 31, 2021 to Jul 29, 2022 · San Francisco, Ca
Svb Wealth independent RIA
Aug 6, 2021 to Nov 3, 2025 · San Francisco, Ca
United Capital Financial Advisors independent RIA
Sep 19, 2012 to Mar 6, 2013 · San Francisco, Ca
Goldman Sachs Wealth Services, L.P. BD affiliated
Apr 25, 2011 to Jun 14, 2012 · Irvine, Ca
Chase Investment Services Corp. former
Jan 26, 2005 to Jun 20, 2006 · New York, Ny
Chase Investment Services Corp. former
Feb 19, 2004 to Dec 31, 2004 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

Svb Wealth to Svb Investment Services Inc.
left Nov 3, 2025, registered Aug 31, 2021 (-1525 days) · RIA to affiliated broker-dealer or bank
First Citizens Investor Services, Inc. to LPL Financial LLC
left Nov 3, 2025, registered Dec 11, 2025 (38 days) · Affiliated broker-dealer or bank to another · moved with a team
Svb Investment Services Inc. to First Citizens Investor Services, Inc.
left Jul 29, 2022, registered May 29, 2025 (1035 days) · Affiliated broker-dealer or bank to another
United Capital Financial Advisors to Svb Wealth
left Mar 6, 2013, registered Aug 6, 2021 (3075 days) · Other
Goldman Sachs Wealth Services, L.P. to United Capital Financial Advisors
left Jun 14, 2012, registered Sep 19, 2012 (97 days) · Other
Chase Investment Services Corp. to Goldman Sachs Wealth Services, L.P.
left Jun 20, 2006, registered Apr 25, 2011 (1770 days) · Other

Signals

Gustavo Arce left First Citizens Investor Services, Inc. for Lpl Financial Llc (registered 2025-12-11)
Nov 3, 2025 · Advisor changed firm · fact
Gustavo Arce left Svb Wealth for Svb Investment Services Inc. (registered 2021-08-31)
Nov 3, 2025 · Advisor changed firm · fact
Gustavo Arce left Svb Investment Services Inc. for First Citizens Investor Services, Inc. (registered 2025-05-29)
Jul 29, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address