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
Carlos Manuel Chapa
Feed of 09/15/2026
Also filed as Carlos M Chapa
At current firm
0 y
since Oct 6, 2025
In the industry
18 y
since May 5, 2008 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Raymond James Financial Services Advisors, Inc BD affiliated currentsince Oct 6, 2025 · Laredo, Tx
- Osaic Institutions, Inc. BD affiliatedApr 23, 2021 to Oct 7, 2025 · San Antonio, Tx
- Cresta Advisors mixed wealthMar 7, 2020 to Apr 14, 2021 · Laredo, Tx
- Primerica Advisors national BDDec 9, 2019 to Feb 26, 2020 · Laredo, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 16, 2015 to Aug 21, 2017 · Georgetown, Tx
- Pnc Managed Account Solutions, Inc. formerAug 18, 2014 to Aug 3, 2015 · Austin, Tx
- LPL Financial LLC BD affiliatedAug 22, 2012 to Jul 7, 2014 · New Braunfels, Tx
- Chase Investment Services Corp. formerJul 27, 2010 to Aug 23, 2012 · Laredo, Tx
- Edward Jones national BDMar 10, 2010 to Jun 15, 2010 · Laredo, Tx
Moves
a registration end followed by a registration begin elsewhere
- Osaic Institutions, Inc. to Raymond James Financial Services Advisors, Incleft Oct 7, 2025, registered Oct 6, 2025 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- Cresta Advisors to Osaic Institutions, Inc.left Apr 14, 2021, registered Apr 23, 2021 (9 days) · RIA to affiliated broker-dealer or bank
- Primerica Advisors to Cresta Advisorsleft Feb 26, 2020, registered Mar 7, 2020 (10 days) · Affiliated broker-dealer or bank to independent RIA
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Primerica Advisorsleft Aug 21, 2017, registered Dec 9, 2019 (840 days) · Wirehouse to affiliated broker-dealer or bank
- Pnc Managed Account Solutions, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Aug 3, 2015, registered Sep 16, 2015 (44 days) · Other
- LPL Financial LLC to Pnc Managed Account Solutions, Inc.left Jul 7, 2014, registered Aug 18, 2014 (42 days) · Other
- Chase Investment Services Corp. to LPL Financial LLCleft Aug 23, 2012, registered Aug 22, 2012 (-1 days) · Other
- Edward Jones to Chase Investment Services Corp.left Jun 15, 2010, registered Jul 27, 2010 (42 days) · Other
Signals
- Carlos Manuel Chapa left Osaic Institutions, Inc. for Raymond James Financial Services Advisors, Inc (registered 2025-10-06)Oct 7, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address