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
Raul Guadalupe Barcenes
Feed of 09/15/2026
Also filed as Raul Guadalupe Barcenes
At current firm
1 y
since Nov 15, 2024
In the industry
10 y
since Jul 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- J.P. Morgan Securities LLC wirehouse currentsince Nov 15, 2024 · Chicago, Il
- Ais Asset Management state registeredOct 13, 2023 to Nov 5, 2024 · San Antonio, Tx
- Fefa Financial independent RIAJun 30, 2023 to Aug 23, 2023 · San Antonio, Tx
- Equitable Advisors, LLC national BDNov 22, 2022 to May 18, 2023 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- Ais Asset Management to J.P. Morgan Securities LLCleft Nov 5, 2024, registered Nov 15, 2024 (10 days) · Other
- Fefa Financial to Ais Asset Managementleft Aug 23, 2023, registered Oct 13, 2023 (51 days) · Other
- Equitable Advisors, LLC to Fefa Financialleft May 18, 2023, registered Jun 30, 2023 (43 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
- Raul Guadalupe Barcenes left Ais Asset Management for J.P. Morgan Securities Llc (registered 2024-11-15)Nov 5, 2024 · Advisor changed firm · fact
- Raul Guadalupe Barcenes left Fefa Financial for Ais Asset Management (registered 2023-10-13)Aug 23, 2023 · Advisor changed firm · fact
- Raul Guadalupe Barcenes left Equitable Advisors, Llc for Fefa Financial (registered 2023-06-30)May 18, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address