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

Andres Esteban Guzman

Portside Wealth Group, LLCindependent RIALos Angeles, Ca IA-onlyIAPD 6212065

Certified Financial Planner

Feed of 09/15/2026

Also filed as Andres Esteban Guzman

At current firm

2 y

since Jul 15, 2024

In the industry

13 y

since Aug 23, 2013 (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

Portside Wealth Group, LLC independent RIA current
since Jul 15, 2024 · Los Angeles, Ca
Baker Tilly Wealth Management, LLC mixed wealth
Feb 8, 2023 to Apr 22, 2024 · Irvine, Ca
Northwestern Mutual Investment Services,LLC no RAUM
Jun 29, 2022 to Sep 7, 2022 · Manhattan Bch, Ca
Charles Schwab & Co., Inc. national BD
Oct 1, 2014 to May 21, 2022 · Los Angeles, Ca
Morgan Stanley wirehouse
Aug 24, 2013 to Jun 10, 2014 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

Baker Tilly Wealth Management, LLC to Portside Wealth Group, LLC
left Apr 22, 2024, registered Jul 15, 2024 (84 days) · RIA to RIA · moved with a team
Northwestern Mutual Investment Services,LLC to Baker Tilly Wealth Management, LLC
left Sep 7, 2022, registered Feb 8, 2023 (154 days) · Other
Charles Schwab & Co., Inc. to Northwestern Mutual Investment Services,LLC
left May 21, 2022, registered Jun 29, 2022 (39 days) · Other
Morgan Stanley to Charles Schwab & Co., Inc.
left Jun 10, 2014, registered Oct 1, 2014 (113 days) · Wirehouse to affiliated broker-dealer or bank

Signals

Andres Esteban Guzman left Baker Tilly Wealth Management, Llc for Portside Wealth Group, Llc (registered 2024-07-15)
Apr 22, 2024 · Advisor changed firm · fact
Andres Esteban Guzman left Northwestern Mutual Investment Services,Llc for Baker Tilly Wealth Management, Llc (registered 2023-02-08)
Sep 7, 2022 · Advisor changed firm · fact
Andres Esteban Guzman left Charles Schwab & Co., Inc. for Northwestern Mutual Investment Services,Llc (registered 2022-06-29)
May 21, 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: Independent wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address