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
Saloni Gupta
Certified Financial Planner
Feed of 09/14/2026
At current firm
3 y
since Mar 22, 2023
In the industry
17 y
since Jan 1, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Avier Wealth Advisors independent RIA currentsince Mar 22, 2023 · Bellevue, Wa
- Hightower Advisors, LLC BD affiliatedSep 30, 2022 to Feb 22, 2023 · Chicago, Il
- Highland Private Wealth Management formerMay 14, 2021 to Oct 25, 2022 · Bellevue, Wa
- Ameriprise Financial Services, LLC national BDDec 18, 2020 to Mar 22, 2021 · Seattle, Wa
- Prevail Wealth Management independent RIANov 14, 2019 to Jan 28, 2020 · Kirkland, Wa
Moves
a registration end followed by a registration begin elsewhere
- Hightower Advisors, LLC to Avier Wealth Advisorsleft Feb 22, 2023, registered Mar 22, 2023 (28 days) · Affiliated broker-dealer or bank to independent RIA
- Highland Private Wealth Management to Hightower Advisors, LLCleft Oct 25, 2022, registered Sep 30, 2022 (-25 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Ameriprise Financial Services, LLC to Highland Private Wealth Managementleft Mar 22, 2021, registered May 14, 2021 (53 days) · Affiliated broker-dealer or bank to independent RIA
- Prevail Wealth Management to Ameriprise Financial Services, LLCleft Jan 28, 2020, registered Dec 18, 2020 (325 days) · RIA to affiliated broker-dealer or bank
Signals
- Saloni Gupta left Hightower Advisors, Llc for Avier Wealth Advisors (registered 2023-03-22)Feb 22, 2023 · Advisor changed firm · fact
- Saloni Gupta left Highland Private Wealth Management for Hightower Advisors, Llc (registered 2022-09-30)Oct 25, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address