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
Albert G Flores
Certified Financial Planner
Feed of 09/15/2026
Also filed as Albert Gilbert Flores
At current firm
10 y
since Dec 14, 2015
In the industry
20 y
since Aug 24, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Arax Advisory Partners BD affiliated currentsince Dec 14, 2015 · New York, Ny
- Seal Financial Services, Inc. formerOct 20, 2011 to Feb 9, 2015 · Denver, Co
- Geneos Wealth Management, Inc. BD affiliatedSep 1, 2011 to Sep 1, 2011 · Denver, Co
- Charles Schwab & Co., Inc. national BDJan 28, 2008 to Sep 13, 2011 · Englewood, Co
- RBC Capital Markets, LLC national BDOct 19, 2006 to Nov 13, 2007 · Cheyenne, Wy
Moves
a registration end followed by a registration begin elsewhere
- Seal Financial Services, Inc. to Arax Advisory Partnersleft Feb 9, 2015, registered Dec 14, 2015 (308 days) · Other
- Charles Schwab & Co., Inc. to Geneos Wealth Management, Inc.left Sep 13, 2011, registered Sep 1, 2011 (-12 days) · Other
- Geneos Wealth Management, Inc. to Seal Financial Services, Inc.left Sep 1, 2011, registered Oct 20, 2011 (49 days) · Other
- RBC Capital Markets, LLC to Charles Schwab & Co., Inc.left Nov 13, 2007, registered Jan 28, 2008 (76 days) · Affiliated broker-dealer or bank to another
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address