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

Cesar Alonzo Romero

Principal Securities, Inc.BD affiliatedAddison, Txdual registrantIAPD 7230835

Certified Financial Planner

Feed of 09/14/2026

Also filed as Cesar Alonzo Romero

At current firm

1 y

since Feb 28, 2025

In the industry

10 y

since Sep 1, 2016 (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

Principal Securities, Inc. BD affiliated current
since Feb 28, 2025 · Addison, Tx
Creative Planning Institutional Advisors, LLC institutional
Oct 25, 2022 to Feb 4, 2025 · Golden Valley, Mn
Ksi Financial unclassified
Jun 8, 2022 to Oct 19, 2022 · Edina, Mn
Thrivent Investment Management Inc. BD affiliated
May 24, 2021 to Jun 9, 2022 · Minneapolis, Mn
Raymond James Financial Services Advisors, Inc BD affiliated
Jan 6, 2021 to Apr 8, 2021 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

Creative Planning Institutional Advisors, LLC to Principal Securities, Inc.
left Feb 4, 2025, registered Feb 28, 2025 (24 days) · Other
Ksi Financial to Creative Planning Institutional Advisors, LLC
left Oct 19, 2022, registered Oct 25, 2022 (6 days) · Other
Thrivent Investment Management Inc. to Ksi Financial
left Jun 9, 2022, registered Jun 8, 2022 (-1 days) · Other
Raymond James Financial Services Advisors, Inc to Thrivent Investment Management Inc.
left Apr 8, 2021, registered May 24, 2021 (46 days) · Affiliated broker-dealer or bank to another

Signals

Cesar Alonzo Romero left Creative Planning Institutional Advisors, Llc for Principal Securities, Inc. (registered 2025-02-28)
Feb 4, 2025 · Advisor changed firm · fact
Cesar Alonzo Romero left Ksi Financial for Creative Planning Institutional Advisors, Llc (registered 2022-10-25)
Oct 19, 2022 · Advisor changed firm · fact
Cesar Alonzo Romero left Thrivent Investment Management Inc. for Ksi Financial (registered 2022-06-08)
Jun 9, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address