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.
Feed of 09/14/2026
Also filed as Zara Guivi
At current firm
2 y
since Jun 27, 2024
In the industry
15 y
since Nov 10, 2010 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- D.A. Davidson & Co. independent RIA currentsince Jun 27, 2024 · Encino, Ca
- RBC Securities, Inc. BD affiliatedJan 15, 2021 to Jul 25, 2024 · Westlake Village, Ca
- U.S. Bancorp Advisors, LLC BD affiliatedJul 5, 2018 to Jan 13, 2021 · Beverly Hills, Ca
- Perennial Financial Services independent RIAJun 13, 2017 to Jul 16, 2018 · Los Angeles, Ca
- LPL Financial LLC BD affiliatedNov 17, 2014 to Sep 26, 2017 · Los Angeles, Ca
- Oppenheimer & Co. Inc. BD affiliatedNov 11, 2010 to Dec 1, 2014 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- RBC Securities, Inc. to D.A. Davidson & Co.left Jul 25, 2024, registered Jun 27, 2024 (-28 days) · RIA to RIA
- U.S. Bancorp Advisors, LLC to RBC Securities, Inc.left Jan 13, 2021, registered Jan 15, 2021 (2 days) · Affiliated broker-dealer or bank to independent RIA
- Perennial Financial Services to U.S. Bancorp Advisors, LLCleft Jul 16, 2018, registered Jul 5, 2018 (-11 days) · RIA to affiliated broker-dealer or bank
- LPL Financial LLC to Perennial Financial Servicesleft Sep 26, 2017, registered Jun 13, 2017 (-105 days) · Other
- Oppenheimer & Co. Inc. to LPL Financial LLCleft Dec 1, 2014, registered Nov 17, 2014 (-14 days) · Other
Signals
- Zara Guivi left Rbc Securities, Inc. for D.A. Davidson & Co. (registered 2024-06-27)Jul 25, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address