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

Raphael Aziz

LPL Financial LLCBD affiliatedSan Diego, Cadual registrantIAPD 5988606

Certified Financial Planner

Feed of 09/14/2026

Also filed as Raph F Aziz

At current firm

0 y

since May 5, 2026

In the industry

14 y

since Mar 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 May 5, 2026 · San Diego, Ca
Strategic Advisers LLC national BD
Mar 31, 2025 to Jul 13, 2026 · San Diego, Ca
Fidelity Personal And Workplace Advisors former
Mar 14, 2023 to Mar 31, 2025 · San Diego, Ca
Mercer Global Advisors Inc. independent RIA
Apr 27, 2021 to Dec 1, 2022 · San Diego, Ca
Epstein And White Financial LLC former
Jul 24, 2020 to Jul 6, 2021 · San Diego, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 29, 2019 to Jun 30, 2020 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

Strategic Advisers LLC to LPL Financial LLC
left Jul 13, 2026, registered May 5, 2026 (-69 days) · Affiliated broker-dealer or bank to another · moved with a team
Fidelity Personal And Workplace Advisors to Strategic Advisers LLC
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
Mercer Global Advisors Inc. to Fidelity Personal And Workplace Advisors
left Dec 1, 2022, registered Mar 14, 2023 (103 days) · RIA to affiliated broker-dealer or bank
Epstein And White Financial LLC to Mercer Global Advisors Inc.
left Jul 6, 2021, registered Apr 27, 2021 (-70 days) · RIA to RIA · moved with a team
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Epstein And White Financial LLC
left Jun 30, 2020, registered Jul 24, 2020 (24 days) · Wirehouse to independent RIA

Signals

Raphael Aziz left Strategic Advisers Llc for Lpl Financial Llc (registered 2026-05-05)
Jul 13, 2026 · Advisor changed firm · fact
Raphael Aziz left Mercer Global Advisors Inc. for Fidelity Personal And Workplace Advisors (registered 2023-03-14)
Dec 1, 2022 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address