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
Hugo Alberto Flores
Feed of 09/14/2026
Also filed as Hugo Alberto Flores
At current firm
10 y
since Feb 18, 2016
In the industry
22 y
since Sep 22, 2003 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Empower Advisory Group, LLC BD affiliated currentsince Feb 18, 2016 · Greenwood Village, Co
- H. Beck, Inc. formerMay 21, 2013 to Jan 13, 2014 · West Covina, Ca
- Ameriprise Financial Services, LLC national BDJan 7, 2013 to Apr 11, 2013 · Las Vegas, Nv
- Principal Securities, Inc. BD affiliatedFeb 13, 2006 to Apr 3, 2007 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- H. Beck, Inc. to Empower Advisory Group, LLCleft Jan 13, 2014, registered Feb 18, 2016 (766 days) · Other
- Ameriprise Financial Services, LLC to H. Beck, Inc.left Apr 11, 2013, registered May 21, 2013 (40 days) · Other
- Principal Securities, Inc. to Ameriprise Financial Services, LLCleft Apr 3, 2007, registered Jan 7, 2013 (2106 days) · Other
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address