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
Jan A Galvez
Feed of 09/14/2026
Also filed as Jan A Galvez
At current firm
1 y
since Mar 28, 2025
In the industry
19 y
since Mar 21, 2007 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Mar 28, 2025 · Woodside, Ny
- Oppenheimer & Co. Inc. BD affiliatedApr 12, 2018 to Apr 15, 2025 · New York, Ny
- Capital One Advisors, LLC formerMay 8, 2015 to Apr 6, 2018 · New York, Ny
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Mar 11, 2015 · Glen Oaks, Ny
- Chase Investment Services Corp. formerJul 29, 2008 to Oct 1, 2012 · Queens Village, Ny
Moves
a registration end followed by a registration begin elsewhere
- Oppenheimer & Co. Inc. to Cetera Investment Advisers LLCleft Apr 15, 2025, registered Mar 28, 2025 (-18 days) · Affiliated broker-dealer or bank to another
- Capital One Advisors, LLC to Oppenheimer & Co. Inc.left Apr 6, 2018, registered Apr 12, 2018 (6 days) · Affiliated broker-dealer or bank to another
- J.P. Morgan Securities LLC to Capital One Advisors, LLCleft Mar 11, 2015, registered May 8, 2015 (58 days) · Other · moved with a team
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Signals
- Jan A Galvez left Oppenheimer & Co. Inc. for Cetera Investment Advisers Llc (registered 2025-03-28)Apr 15, 2025 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address