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

Robert Wirthwein

J.P. Morgan Securities LLCwirehouseLos Angeles, Cadual registrantIAPD 6716177

Feed of 09/14/2026

Also filed as Robert D. Wirthwein

At current firm

0 y

since Nov 19, 2025

In the industry

11 y

since Feb 1, 2015 (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

J.P. Morgan Securities LLC wirehouse current
since Nov 19, 2025 · Los Angeles, Ca
Hsbc Securities (USA) Inc. BD affiliated
Jan 24, 2025 to Nov 13, 2025 · Beverly Hills, Ca
Northwestern Mutual Investment Services,LLC no RAUM
Jul 8, 2022 to Jan 23, 2025 · Los Angeles, Ca
Wells Fargo Advisors wirehouse
Jan 22, 2021 to Jun 10, 2022 · San Francisco, Ca
Hsbc Securities (USA) Inc. BD affiliated
Jul 15, 2019 to Jan 14, 2021 · San Francisco, Ca
Equitable Advisors, LLC national BD
Oct 13, 2017 to Feb 27, 2018 · Tell City, In

Moves

a registration end followed by a registration begin elsewhere

Hsbc Securities (USA) Inc. to J.P. Morgan Securities LLC
left Nov 13, 2025, registered Nov 19, 2025 (6 days) · Affiliated broker-dealer or bank to wirehouse
Northwestern Mutual Investment Services,LLC to Hsbc Securities (USA) Inc.
left Jan 23, 2025, registered Jan 24, 2025 (1 days) · Other
Wells Fargo Advisors to Northwestern Mutual Investment Services,LLC
left Jun 10, 2022, registered Jul 8, 2022 (28 days) · Other
Hsbc Securities (USA) Inc. to Wells Fargo Advisors
left Jan 14, 2021, registered Jan 22, 2021 (8 days) · Affiliated broker-dealer or bank to wirehouse
Equitable Advisors, LLC to Hsbc Securities (USA) Inc.
left Feb 27, 2018, registered Jul 15, 2019 (503 days) · Affiliated broker-dealer or bank to another

Signals

Robert Wirthwein left Hsbc Securities (Usa) Inc. for J.P. Morgan Securities Llc (registered 2025-11-19)
Nov 13, 2025 · Advisor changed firm · fact
Robert Wirthwein left Northwestern Mutual Investment Services,Llc for Hsbc Securities (Usa) Inc. (registered 2025-01-24)
Jan 23, 2025 · Advisor changed firm · fact
Robert Wirthwein left Wells Fargo Advisors for Northwestern Mutual Investment Services,Llc (registered 2022-07-08)
Jun 10, 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address