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 E Moisa

LPL Financial LLCBD affiliatedTampa, Fldual registrantIAPD 5547323

Feed of 09/14/2026

Also filed as Carlos Ernesto Moisa

At current firm

0 y

since Apr 28, 2026

In the industry

17 y

since Oct 27, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Apr 28, 2026 · Tampa, Fl
Valic Financial Advisors, Inc. BD affiliated
Jan 7, 2016 to May 12, 2026 · Tampa, Fl
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
May 28, 2014 to Nov 24, 2015 · Largo, Fl
Equitable Advisors, LLC national BD
Oct 29, 2008 to May 5, 2014 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

Valic Financial Advisors, Inc. to LPL Financial LLC
left May 12, 2026, registered Apr 28, 2026 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Valic Financial Advisors, Inc.
left Nov 24, 2015, registered Jan 7, 2016 (44 days) · Other
Equitable Advisors, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left May 5, 2014, registered May 28, 2014 (23 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Carlos E Moisa left Valic Financial Advisors, Inc. for Lpl Financial Llc (registered 2026-04-28)
May 12, 2026 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address