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.
Feed of 09/15/2026
At current firm
6 y
since Jan 9, 2020
In the industry
23 y
since Jun 30, 2003 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jan 9, 2020 · Long Beach, Ca
- Cetera Investment Advisers LLC BD affiliatedFeb 25, 2019 to Dec 11, 2019 · Los Angeles, Ca
- LPL Financial LLC BD affiliatedJun 10, 2016 to Mar 20, 2019 · Eastvale, Ca
- Cetera Investment Advisers LLC BD affiliatedJan 21, 2014 to Jun 13, 2016 · Los Angeles, Ca
- Cetera Investment Services LLC formerJan 29, 2013 to Jan 21, 2014 · Los Angeles, Ca
- LPL Financial LLC BD affiliatedOct 11, 2011 to Jan 30, 2013 · Los Angeles, Ca
- Uvest Financial Services Group, Inc. unclassifiedAug 8, 2008 to Oct 11, 2011 · Monterey Park, Ca
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Advisers LLC to LPL Financial LLCleft Dec 11, 2019, registered Jan 9, 2020 (29 days) · Affiliated broker-dealer or bank to another
- LPL Financial LLC to Cetera Investment Advisers LLCleft Mar 20, 2019, registered Feb 25, 2019 (-23 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Cetera Investment Advisers LLC to LPL Financial LLCleft Jun 13, 2016, registered Jun 10, 2016 (-3 days) · Other
- Cetera Investment Services LLC to Cetera Investment Advisers LLCleft Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- LPL Financial LLC to Cetera Investment Services LLCleft Jan 30, 2013, registered Jan 29, 2013 (-1 days) · Other
- Uvest Financial Services Group, Inc. to LPL Financial LLCleft Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address