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
Alexis Paul Rivera
Feed of 09/14/2026
Also filed as Alexis Paul Rivera
At current firm
4 y
since Jun 2, 2022
In the industry
10 y
since May 9, 2016 (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
S63, 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
- State Farm Investment Management Corp. asset manager currentsince Jun 2, 2022 · Chicago, Il
- Fidelity Personal And Workplace Advisors formerAug 13, 2020 to Sep 16, 2021 · Highland Park, Il
- Wellment Financial independent RIAMar 23, 2019 to Dec 12, 2019 · Elmhurst, Il
- Charles Schwab & Co., Inc. national BDMay 14, 2018 to Mar 5, 2019 · Oak Brook, Il
- Jmc Wealth state registeredJun 22, 2017 to Apr 25, 2018 · Chicago, Il
- Sequoia Wealth Management, LLC independent RIAJun 16, 2017 to Apr 23, 2018 · Chicago, Il
- Equitable Advisors, LLC national BDApr 14, 2017 to May 3, 2017 · Oak Brook, Il
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to State Farm Investment Management Corp.left Sep 16, 2021, registered Jun 2, 2022 (259 days) · Other
- Wellment Financial to Fidelity Personal And Workplace Advisorsleft Dec 12, 2019, registered Aug 13, 2020 (245 days) · RIA to affiliated broker-dealer or bank
- Charles Schwab & Co., Inc. to Wellment Financialleft Mar 5, 2019, registered Mar 23, 2019 (18 days) · Affiliated broker-dealer or bank to independent RIA
- Jmc Wealth to Charles Schwab & Co., Inc.left Apr 25, 2018, registered May 14, 2018 (19 days) · Other
- Sequoia Wealth Management, LLC to Jmc Wealthleft Apr 23, 2018, registered Jun 22, 2017 (-305 days) · RIA to a state-registered adviser
- Equitable Advisors, LLC to Sequoia Wealth Management, LLCleft May 3, 2017, registered Jun 16, 2017 (44 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address