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

Gonzalo A Figueroa Ortega

Northwestern Mutual Investment Services,LLCno RAUMMontclair, Njdual registrantIAPD 7036043

Feed of 09/14/2026

Also filed as Gonzalo A Figueroa

At current firm

0 y

since Jul 27, 2026

In the industry

11 y

since Sep 1, 2015 (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

Northwestern Mutual Investment Services,LLC no RAUM current
since Jul 27, 2026 · Montclair, Nj
Q3 Advisors, LLC no RAUM
Jul 15, 2025 to May 6, 2026 · Little Ferry, Nj
Osaic Wealth, Inc. BD affiliated
Aug 16, 2023 to Apr 2, 2025 · Scottsdale, Az
Gateway Advisory, LLC former
Jan 27, 2022 to Aug 23, 2023 · Mountainside, Nj
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Feb 15, 2019 to Dec 16, 2021 · Montvale, Nj

Moves

a registration end followed by a registration begin elsewhere

Q3 Advisors, LLC to Northwestern Mutual Investment Services,LLC
left May 6, 2026, registered Jul 27, 2026 (82 days) · Other
Osaic Wealth, Inc. to Q3 Advisors, LLC
left Apr 2, 2025, registered Jul 15, 2025 (104 days) · Other
Gateway Advisory, LLC to Osaic Wealth, Inc.
left Aug 23, 2023, registered Aug 16, 2023 (-7 days) · RIA to affiliated broker-dealer or bank
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Gateway Advisory, LLC
left Dec 16, 2021, registered Jan 27, 2022 (42 days) · Wirehouse to independent RIA

Signals

Gonzalo A Figueroa Ortega left Q3 Advisors, Llc for Northwestern Mutual Investment Services,Llc (registered 2026-07-27)
May 6, 2026 · Advisor changed firm · fact
Gonzalo A Figueroa Ortega left Osaic Wealth, Inc. for Q3 Advisors, Llc (registered 2025-07-15)
Apr 2, 2025 · Advisor changed firm · fact
Gonzalo A Figueroa Ortega left Gateway Advisory, Llc for Osaic Wealth, Inc. (registered 2023-08-16)
Aug 23, 2023 · 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: No RAUM reportedderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address